0001127602-12-004292.txt : 20120207
0001127602-12-004292.hdr.sgml : 20120207
20120207120143
ACCESSION NUMBER: 0001127602-12-004292
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120130
FILED AS OF DATE: 20120207
DATE AS OF CHANGE: 20120207
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22175
FILM NUMBER: 12576460
MAIL ADDRESS:
STREET 1: C/O EMCORE CORP
STREET 2: 394 ELIZABETH CORP
CITY: SOMERSET
STATE: NJ
ZIP: 08893
4
1
form4.xml
PRIMARY DOCUMENT
X0304
4
2012-01-30
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
Emcore Common Stock
2012-01-30
4
S
0
23058
1.1179
D
629256
D
Emcore Common Stock
2012-02-01
4
S
0
26942
1.20
D
602314
D
Emcore Common Stock
175000
I
By Spouse
Emcore Common Stock
10000
I
By Spouse In Pension Fund
Emcore Common Stock
10000
I
By Trust For Benefit Of Daughter
Restricted Stock Units
0
2012-01-30
4
A
0
95000
A
Emcore Common Stock
95000
95000
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 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, which will vest in two equal annual installments on January 28, 2013 and January 28, 2014.
The restricted stock units were awarded to the reporting person for no cash or other similar consideration.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $1.19 to $1.21 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.
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.
Alfredo Gomez, attorney-in-fact
2012-02-07