-----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, Qo14lQwV1kdnEKDpLSOew4X8MZh/oSrYdm9dZ0AM4EanzWIlUDUcfUPGZYX1Z5ac Jab65JDfEveDSWi2a5ziMQ== 0001145443-11-000096.txt : 20110131 0001145443-11-000096.hdr.sgml : 20110131 20110131163051 ACCESSION NUMBER: 0001145443-11-000096 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110121 FILED AS OF DATE: 20110131 DATE AS OF CHANGE: 20110131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wang Xinqiao CENTRAL INDEX KEY: 0001511517 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 11559833 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 d27824.xml X0203 3 2011-01-21 0 0000808326 EMCORE CORP EMKR 0001511517 Wang Xinqiao 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 0 1 0 0 Exec VP, China Ops Common Stock 18278 D Common Stock 10720 I By Trust 401(k) Common Stock 907 I By Spouse in 401(k) Employee Stock Option (right to buy) 7.90 2011-10-03 Common Stock 3000 D Employee Stock Option (right to buy) 2.89 2014-05-18 Common Stock 18750 D Employee Stock Option (right to buy) 3.00 2015-02-28 Common Stock 14000 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) 4.98 2017-03-29 Common Stock 15000 D Employee Stock Option (right to buy) 7.51 2018-05-13 Common Stock 2000 D Employee Stock Option (right to buy) 8.38 2018-05-19 Common Stock 70000 D Employee Stock Option (right to buy) 1.25 2019-07-27 Common Stock 60000 D This grant was originally made for 8,000 options, of which 3,000 remain outstanding and are fully vested and exercisable. These options are fully vested end exercisable. Of the 15,000 outstanding options, 11,250 options are fully vested and exercisable, and the remaining 3,750 options are scheduled to vest on 3/29/2011. Of the 2,000 outstanding options, 1,000 options are fully vested and exercisable, and the remaining 1,000 options are scheduled to vest in two equal annual installments on 05/13/2011 and 05/13/2012. Of the 70,000 outstanding options, 35,000 options are fully vested and exercisable, and the remaining 35,000 options are scheduled to vest in two equal annual installments on 05/19/2011 and 5/19/2012. Of the 60,000 outstanding options, 15,000 options are fully vested and exercisable, and the remaining 45,000 options are scheduled to vest in three equal annual installments on 07/27/2011, 07/27/2012 and 07/27/2013 /s/ Xinqiao Wang 2011-01-30 -----END PRIVACY-ENHANCED MESSAGE-----