0001127602-12-003475.txt : 20120201 0001127602-12-003475.hdr.sgml : 20120201 20120201205832 ACCESSION NUMBER: 0001127602-12-003475 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110822 FILED AS OF DATE: 20120201 DATE AS OF CHANGE: 20120201 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHARDS REUBEN F JR CENTRAL INDEX KEY: 0001035939 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 12564092 MAIL ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH CORP CITY: SOMERSET STATE: NJ ZIP: 08893 4/A 1 form4a.xml PRIMARY DOCUMENT X0304 4/A 2011-08-22 2011-08-24 0000808326 EMCORE CORP EMKR 0001035939 RICHARDS REUBEN F JR C/O EMCORE CORP 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 1 1 Exec Chairman & Chair of Board Restricted Stock Units 0 2011-08-22 4 A 0 50000 A Emcore Common Stock 50000 50000 D Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the issuer, in cash, Emcore common stock, or a combination of the two. The restricted stock units vest in three equal annual installments beginning on August 22, 2012. Vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of both will be delivered to the reporting person not later than 30 days after vesting occurs. The restricted stock units were awarded to the reporting person for no cash or other similar consideration. On August 24, 2011, the reporting person filed a Form 4 reporting an annual grant of 90,000 restricted stock units to the reporting person under the Company's 2010 Equity Incentive Plan in Table I instead of Table II. Subsequent to the filing of the reporting person's original Form 4, 40,000 of the 90,000 restricted stock units originally granted were canceled for no value. Alfredo Gomez, attorney-in-fact 2012-02-01