-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GiTcsU/Phl8oYs2xEuHfrD/jrWFIBwEcbfsJiyt30bPkqsFytkcfhvcEbac8E32l QDDg5jy4YPn+/R6X0sa85Q== 0000950127-98-000098.txt : 19980218 0000950127-98-000098.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950127-98-000098 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD GROUP MEMBERS: RUSSELL THOMAS GROUP MEMBERS: THE AER 1997 TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670] IRS NUMBER: 222746503 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-50693 FILM NUMBER: 98537732 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 908271-909 MAIL ADDRESS: STREET 1: 394 ELIZABETH AVE CITY: SOMERSET STATE: NJ ZIP: 08873 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RUSSELL THOMAS CENTRAL INDEX KEY: 0001035930 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O JESUP & MERCHANT PARTNERS LLC STREET 2: 650 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2123072670 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ______________ SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2(1) (1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). EMCORE CORPORATION (Name of issuer) Common Stock, no par value (Title of class of securities) 290846104 (CUSIP number) Check the following box if a fee is being paid with this statement( ). (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) (CONTINUED ON FOLLOWING PAGE(S)) (Page 1 of 6 Pages) - ------------------- ----------------- CUSIP No. 290846104 13G Page 2 of 6 Pages - ------------------- ----------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Thomas J. Russell - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (x) (b) ( ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Florida - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 190,775 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ------------------------------------------------ 6 SHARED VOTING POWER 1,960,469* ------------------------------------------------ 7 SOLE DISPOSITIVE POWER 190,775 ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,960,469* - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,151,244* - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 21.5% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- * See footnote on page 4. - ------------------- ----------------- CUSIP No. 290846104 13G Page 3 of 6 Pages - ------------------- ----------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS The AER 1997 Trust - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (x) (b) ( ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Florida - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 1,960,469 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ------------------------------------------------- 6 SHARED VOTING POWER 0 ------------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,960,469 ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,960,469 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 19.9% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON OO - ------------------------------------------------------------------------------ ITEM 1(A). NAME OF ISSUER: EMCORE Corporation ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 394 Elizabeth Avenue Somerset, New Jersey 08873 ITEM 2(A). NAME OF PERSON FILING: This statement is filed on behalf of: (a) Thomas J. Russell (b) The AER 1997 Trust ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The principal business address of the Reporting Persons is: (a) Thomas J. Russell: Two North Tamiami Trail Suite 1200 Sarasota, Florida 34236 (b) The AER 1997 Trust: c/o Thomas J. Russell Two North Tamiami Trail Sarasota, Florida 34236 ITEM 2(C). CITIZENSHIP: (a) Thomas J. Russell: Florida (b) The AER 1997 Trust: New York ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock, no par value. * Includes 1,446,559 shares and warrants to purchase 513,910 shares held by The AER 1997 Trust. Thomas J. Russell is one of three trustees of The AER 1997 Trust. Such trustees share authority over the assets of the trust. These shares and warrants wer acquired prior to the time that EMCORE Corporation common stock was registered under the Securities and Exchange Act of 1934. (Page 4 of 6 Pages) ITEM 2(E). CUSIP NUMBER: 290846104 ITEM 3. Not applicable. ITEM 4. OWNERSHIP.
====================================================================================================================== Amount Percent Sole Shared Sole Shared Entity Beneficially of Class Voting Voting Power Dispositive Dispositive Owned Power Power Power ====================================================================================================================== Thomas J. 2,151,244(a) 21.5% 190,775 1,960,469(a) 190,775 1,960,469(a) Russell - ---------------------------------------------------------------------------------------------------------------------- The AER 1,960,469 19.9% 1,960,469 0 1,960,469 0 1997 Trust ====================================================================================================================== (a) Includes 1,446,559 shares and warrants to purchase 513,910 shares held by The AER 1997 Trust. Thomas J. Russell is one of three trustees of The AER 1997 Trust. Such trustees share authority over the assets of the trust.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. (Page 5 of 6 Pages) SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct. February 10, 1998 Thomas J. Russell ____________________________ Name: Thomas G. Werthan Title: Attorney-in-fact The AER 1997 Trust ____________________________ Name: Thomas G. Werthan Title: Attorney-in-fact (Page 6 of 6 Pages) -----END PRIVACY-ENHANCED MESSAGE-----