-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GEZaESypw8fSXM4C5mD8Dqzgyq8AI0CyV/Q32Q431mGBPVA7n/Nvr7MKmySRA1pE /zw+EIJD1g+qbQJm3pScxA== 0001132072-09-000012.txt : 20090108 0001132072-09-000012.hdr.sgml : 20090108 20090108162541 ACCESSION NUMBER: 0001132072-09-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081224 FILED AS OF DATE: 20090108 DATE AS OF CHANGE: 20090108 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: 09516025 BUSINESS ADDRESS: STREET 1: EMCORE CORP STREET 2: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7372719090 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: 0807 BUSINESS ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 MAIL ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 4 1 s11-8952_ex.xml X0303 4 2008-12-24 0 0000808326 EMCORE CORP EMKR 0001156899 HOU HONG Q C/O EMCORE CORPORATION 10420 RESEARCH ROAD, SE ALBUQUERQUE, NM 89123 1 1 0 0 CEO & President Employee Stock Option (right to buy) 2.63 2008-12-24 4 D 0 35000 D 2014-05-18 Common Stock 35000 1302500 D Employee Stock Option (right to buy) 2.89 2008-12-24 4 A 0 35000 A 2014-05-18 Common Stock 35000 1337500 D The reporting person agreed to cancellation of an option granted on May 18, 2004, in exchange for a new option having a higher exercise price and a cash payment. Pursuant to an issuer tender offer described in the Tender Offer Statement on Schedule TO filed with the Commission on November 19, 2008, as amended on December 18, 2008, (the "Tender Offer"), the options were tendered in exchange for a new option having a higher exercise price but the same vesting schedule and payment of $0.26 per underlying share of Common Stock. The option vested in 4 equal installments on the first 4 anniversaries following the original grant date on May 18, 2004. /s/ Hong Q. Hou 2009-01-08 -----END PRIVACY-ENHANCED MESSAGE-----