-----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, V2zvln2/igB9BgZns35XZsTskqb1CrwrsJRGvNDsNowzWgcpZ7gQq6afnaPIR3Hk k67lCqv6GK1Qc7+94YHKug== 0001145443-11-000098.txt : 20110131 0001145443-11-000098.hdr.sgml : 20110131 20110131181750 ACCESSION NUMBER: 0001145443-11-000098 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: Van Berkel Monica CENTRAL INDEX KEY: 0001511187 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 11560863 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 d27817.xml X0203 3 2011-01-21 0 0000808326 EMCORE CORP EMKR 0001511187 Van Berkel Monica 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 0 1 0 0 Chief Admin. Officer Common Stock 1304 D Common Stock 16893 I By Trust 401(k) Employee Stock Option (right to buy) 3.08 2014-05-24 Common Stock 27250 D Employee Stock Option (right to buy) 3.00 2015-02-28 Common Stock 15000 D Employee Stock Option (right to buy) 7.32 2015-12-29 Common Stock 713 D Employee Stock Option (right to buy) 7.29 2016-08-28 Common Stock 45000 D Employee Stock Option (right to buy) 4.98 2017-03-29 Common Stock 20000 D Employee Stock Option (right to buy) 8.78 2017-09-25 Common Stock 10000 D Employee Stock Option (right to buy) 8.38 2018-05-19 Common Stock 70000 D Employee Stock Option (right to buy) 1.31 2019-05-29 Common Stock 75000 D Employee Stock Option (right to buy) 1.25 2019-07-27 Common Stock 80000 D This grant was originally made for 50,000 options, of which 27,250 remain outstanding and are fully vested and exercisable. These options are fully vested end exercisable. Of the 20,000 outstanding options, 15,000 options are fully vested and exercisable, and the remaining 5,000 options are scheduled to vest on 3/29/2011. Of the 10,000 outstanding options, 7,500 options are fully vested and exercisable, and the remaining 2,500 options are scheduled to vest on 09/25/2011. 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 75,000 outstanding options, 18,750 options are fully vested and exercisable, and the remaining 56,250 options are scheduled to vest in three equal annual installments 05/29/2011, 05/29/2012 and 05/29/2013. Of the 80,000 outstanding options, 20,000 options are fully vested and exercisable, and the remaining 60,000 options are scheduled to vest in three equal annual installments on 07/27/2011, 07/27/2012 and 07/27/2013. /s/ Monica Van Berkel 2011-01-28 -----END PRIVACY-ENHANCED MESSAGE-----