-----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, RmseuNrNSfJHaKwkTOwY3QzWIbBo5I7U3vpKtT8DGQ1ZcVzvQlAgFuineLWruV14 q2AwT43V1w3jqRGAtuY2CQ== 0000950136-02-003150.txt : 20021112 0000950136-02-003150.hdr.sgml : 20021111 20021112104636 ACCESSION NUMBER: 0000950136-02-003150 CONFORMED SUBMISSION TYPE: SC TO-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021112 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC TO-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50693 FILM NUMBER: 02815810 BUSINESS ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 MAIL ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC TO-I/A BUSINESS ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 MAIL ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 SC TO-I/A 1 file001.txt SCHEDULE TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (Rule 13e-4) TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 2 EMCORE CORPORATION (Name of Subject Company (Issuer)) EMCORE CORPORATION (Name of Filing Person (Offeror)) OPTIONS TO PURCHASE COMMON STOCK, PAR VALUE $.01 PER SHARE, HELD BY CERTAIN OPTION HOLDERS UNDER THE EMCORE CORPORATION 2000 STOCK OPTION PLAN AND 1995 INCENTIVE AND NON-STATUTORY STOCK OPTION PLAN (Title of Class of Securities) 290846104 (CUSIP Number of Class of Securities) (Underlying Common Stock) Thomas G. Werthan EMCORE Corporation 145 Belmont Drive Somerset, NJ 08873 (732) 271-9090 (Name, address and telephone number of person authorized to receive notices and communications on behalf of filing person) [_] Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer. Check the appropriate boxes below to designate any transactions to which the statement relates: [_] third party tender offer subject to Rule 14d-1. [X] issuer tender offer subject to Rule 13e-4. [_] going-private transaction subject to Rule 13e-3. [_] amendment to Schedule 13D under Rule 13d-2. Check the following box if the filing is a final amendment reporting the results of the tender offer. [X] INTRODUCTORY STATEMENT The Final Amendment No. 2 to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission on September 30, 2002, as amended by Amendment No. 1 thereto, filed with the Securities and Exchange Commission on October 22, 2002 (as amended, the "Schedule TO"), reports the final results of our offer to certain option holders to exchange certain options outstanding under our stock option plans having an exercise price of more than $4.00 per share for new options to purchases shares of our common stock upon the terms and subject to the conditions described in the Offer to Exchange, dated September 30, 2002, and the related cover letter, letter of transmittal, electronic mail transmission, and electronic mail supplement attached as Exhibits (a) (2), (a) (3), (a) (5), and (a) (6). Item 4. Terms of the Transaction. Item 4. Of the Schedule TO is hereby amended and supplemented as follows: The Offer to Exchange expired at 5:00 P.M., New York City Time, on Wednesday, October 30, 2002. Pursuant to the Offer to Exchange, we accepted for cancellation 2,476,140 options to purchase 2,476,140 shares of common stock, representing 71.8% of the options that were eligible to be exchanged in this Offer to Exchange, we will issue replacement options to purchase an aggregate of 2,476,140 shares of Common Stock in exchange for the options surrendered pursuant to the Offer to Exchange, as adjusted for any stock splits, stock dividends and similar events. SIGNATURE After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Schedule TO is true, complete and correct. EMCORE CORPORATION. By: /s/ Thomas G. Werthan -------------------- Name: Thomas G. Werthan, Title: Chief Financial Officer Date: November 11, 2002 -----END PRIVACY-ENHANCED MESSAGE-----