0001214659-12-002879.txt : 20120627 0001214659-12-002879.hdr.sgml : 20120627 20120627210431 ACCESSION NUMBER: 0001214659-12-002879 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: Van Berkel Monica CENTRAL INDEX KEY: 0001511187 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 12930716 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 4 1 marketforms-3210.xml PRIMARY DOCUMENT X0305 4 2012-06-25 0000808326 EMCORE CORP EMKR 0001511187 Van Berkel Monica 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 false true false false Chief Admin. Officer Common Stock 2012-06-25 4 A false 7500 0 A 21937 D Common Stock 2012-06-27 4 S false 2564 4.00 D 19373 D Common Stock 5331 I By Trust 401(K) There 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. Includes 10,000 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting in two equal annual installments beginning on January 28, 2013. 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