0001127602-11-027453.txt : 20111018 0001127602-11-027453.hdr.sgml : 20111018 20111018154349 ACCESSION NUMBER: 0001127602-11-027453 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111014 FILED AS OF DATE: 20111018 DATE AS OF CHANGE: 20111018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOU HONG Q CENTRAL INDEX KEY: 0001156899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 111145732 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 BUSINESS PHONE: 505-332-5000 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 form4.xml PRIMARY DOCUMENT X0304 4 2011-10-14 0000808326 EMCORE CORP EMKR 0001156899 HOU HONG Q 10420 RESEARCH ROAD, SE ALBUQUERQUE, NM 87123 1 1 CEO & President Emcore Common Stock 2011-10-14 4 A 0 1364 1.10 A 421244 D Emcore Common Stock 22009 I By Trust 401(k) Includes 150,000 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting in three equal annual installments beginning on January 28, 2012 and 90,000 restricted stock units granted under the Company's 2010 Equity Incentive Plan and vesting in three equal annual installments beginning on August 22, 2012. Shares attributable to EMCORE Corporation 401(k) account as of June 30, 2011. Shares were purchased under the Company's Officer and Director Share Purchase Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). Alfredo Gomez, attorney-in-fact 2011-10-18