0001127602-11-032160.txt : 20111213 0001127602-11-032160.hdr.sgml : 20111213 20111213180335 ACCESSION NUMBER: 0001127602-11-032160 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111209 FILED AS OF DATE: 20111213 DATE AS OF CHANGE: 20111213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WEINSWIG MARK CENTRAL INDEX KEY: 0001265677 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 111259473 MAIL ADDRESS: STREET 1: AVANEX CORP STREET 2: 40919 ENCYCLOPEDIA CIRCLE CITY: FREMONT STATE: CA ZIP: 94538 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 2011-12-09 0000808326 EMCORE CORP EMKR 0001265677 WEINSWIG MARK C/O EMCORE CORPORATION 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 1 Chief Financial Officer Emcore Common Stock 2011-12-09 4 A 0 1530 .98 A 108655 D Emcore Common Stock 3516 I 401K Plan Shares attributable to EMCORE Corporation 401(k) account as of September 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). Includes 50,000 restricted stock units granted under the Company's 2010 Equity Incentive Plan and vesting in three equal annual installments beginning on August 22, 2012; and 48,000 restricted stock units vesting in four equal installments on February 14, 2012; December 6, 2012; December 6, 2013; and December 6, 2014. Alfredo Gomez, attorney-in-fact 2011-12-13