0001214659-12-002878.txt : 20120627
0001214659-12-002878.hdr.sgml : 20120627
20120627210403
ACCESSION NUMBER: 0001214659-12-002878
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120625
FILED AS OF DATE: 20120627
DATE AS OF CHANGE: 20120627
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WEINSWIG MARK
CENTRAL INDEX KEY: 0001265677
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22175
FILM NUMBER: 12930714
MAIL ADDRESS:
STREET 1: AVANEX CORP
STREET 2: 40919 ENCYCLOPEDIA CIRCLE
CITY: FREMONT
STATE: CA
ZIP: 94538
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
4
1
marketforms-3314.xml
PRIMARY DOCUMENT
X0305
4
2012-06-25
0000808326
EMCORE CORP
EMKR
0001265677
WEINSWIG MARK
C/O EMCORE CORPORATION
10420 RESEARCH ROAD, SE
ALBUQUERQUE
NM
87123
false
true
false
false
Chief Financial Officer
Common Stock
2012-06-25
4
A
false
12500
0
A
24159
D
Common Stock
2012-06-27
4
S
false
3650
4.00
D
20509
D
Common Stock
1583
I
By 401(k) Plan
Shares were granted as restricted stock units under the Company?s 2010 Equity Incentive Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). The restricted stock units vested immediately and were settled in common stock on the grant date.
The shares of common stock were awarded to the reporting person for no cash or other similar consideration.
All sales were effected pursuant to a 10b5-1 plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the vesting of shares of restricted stock that were granted under the Company's 2010 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d).
Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $3.97 to $4.00 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.
Shares attributable to EMCORE Corporation 401(k) account as of March 31, 2012.
/s/ Alfredo Gomez, attorney-in-fact
2012-06-27