-----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, U3zvmYEefMjAEYZ7MWlt1syk6e4l9NGaXdLutGrWcdj+9LTx+ii+IY1SZuMQTXUH DGng7NN3oSmgnknHCLspEg== 0001132072-09-000236.txt : 20090604 0001132072-09-000236.hdr.sgml : 20090604 20090604172041 ACCESSION NUMBER: 0001132072-09-000236 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090529 FILED AS OF DATE: 20090604 DATE AS OF CHANGE: 20090604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Larocca Christopher M CENTRAL INDEX KEY: 0001465498 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 09874889 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 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 3 1 s11-9211_ex.xml X0203 3 2009-05-29 0 0000808326 EMCORE CORP EMKR 0001465498 Larocca Christopher M C/O EMCORE CORPORATION 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 0 1 0 0 Chief Operating Officer Common Stock 7819 D Common Stock 7209 I 401K Plan Employee Stock Option (right to buy) 2.93 2014-05-19 Common Stock 40000 D Employee Stock Option (right to buy) 3.00 2015-02-28 Common Stock 13000 D Employee Stock Option (right to buy) 7.32 2005-12-29 2015-12-29 Common Stock 1326 D Employee Stock Option (right to buy) 7.95 2016-03-10 Common Stock 12000 D Employee Stock Option (right to buy) 9.75 2016-04-05 Common Stock 2000 D Employee Stock Option (right to buy) 7.29 2016-08-28 Common Stock 7000 D Employee Stock Option (right to buy) 4.98 2017-03-29 Common Stock 30000 D Employee Stock Option (right to buy) 8.78 2017-09-25 Common Stock 30000 D Employee Stock Option (right to buy) 8.38 2018-05-19 Common Stock 75000 D Employee Stock Option (right to buy) 0.69 2019-02-27 Common Stock 30000 D As of 06/02/2009, the most recent available information. 25% annually on the anniversary of grant beginning 05/19/2004 25% annually on the anniversary of grant beginning 02/28/2005 25% annually on the anniversary of grant beginning 03/10/2006 25% annually on the anniversary of grant beginning 04/05/2006 25% annually on the anniversary of grant beginning 08/28/2006 25% annually on the anniversary of grant beginning 03/29/2007 25% annually on the anniversary of grant beginning 09/25/2007 25% annually on the anniversary of grant beginning 05/19/2008 25% annually on the anniversary of grant beginning 02/27/2009 /s/ Christopher M. Larocca 2009-06-04 -----END PRIVACY-ENHANCED MESSAGE-----