0001127602-12-001497.txt : 20120110 0001127602-12-001497.hdr.sgml : 20120110 20120110200432 ACCESSION NUMBER: 0001127602-12-001497 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120106 FILED AS OF DATE: 20120110 DATE AS OF CHANGE: 20120110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Larocca Christopher M CENTRAL INDEX KEY: 0001465498 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 12520971 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 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 2012-01-06 0000808326 EMCORE CORP EMKR 0001465498 Larocca Christopher M 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 1 Chief Operating Officer Emcore Common Stock 2012-01-06 4 A 0 970 1.03 A 203421 D Emcore Common Stock 22319 I By Trust 401(k) Emcore Common Stock 7209 I 401k Plan Includes 70,000 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting in three equal annual installments beginning on January 28, 2012; 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. Shares attributable to EMCORE Corporation 401(k) account as of December 31, 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 2012-01-10