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