0001127602-12-004226.txt : 20120206 0001127602-12-004226.hdr.sgml : 20120206 20120206170605 ACCESSION NUMBER: 0001127602-12-004226 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120130 FILED AS OF DATE: 20120206 DATE AS OF CHANGE: 20120206 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: 12574379 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 2012-01-30 0000808326 EMCORE CORP EMKR 0001156899 HOU HONG Q 10420 RESEARCH ROAD, SE ALBUQUERQUE, NM 87123 1 1 CEO & President Emcore Common Stock 2012-01-30 4 S 0 20034 1.118 D 320489 D Emcore Common Stock 22689 I By Trust 401(k) Restricted Stock Units 0 2012-01-30 4 A 0 95000 0 A Emcore Common Stock 95000 95000 D The restricted stock units vest in four equal installments as follows: February 14, 2012 and January 30, 2013; January 30, 2014, and January 30, 2015. Not later than 30 days after vesting occurs, 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. Includes 100,000 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting in two equal annual installments beginning on January 28, 2013. The restricted stock units were awarded to the reporting person for no cash or other similar consideration. Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $1.06 to $1.12 per share. The reporting person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price. 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. Alfredo Gomez, attorney-in-fact 2012-02-06