0001214659-12-003800.txt : 20120824 0001214659-12-003800.hdr.sgml : 20120824 20120824145709 ACCESSION NUMBER: 0001214659-12-003800 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120822 FILED AS OF DATE: 20120824 DATE AS OF CHANGE: 20120824 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHARDS REUBEN F JR CENTRAL INDEX KEY: 0001035939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 121054458 MAIL ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH CORP CITY: SOMERSET STATE: NJ ZIP: 08893 4 1 marketforms-4887.xml PRIMARY DOCUMENT X0306 4 2012-08-22 0000808326 EMCORE CORP EMKR 0001035939 RICHARDS REUBEN F JR C/O EMCORE CORP 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 true true false false Exec Chairman & Chair of Board Restricted Stock Units 2012-08-22 4 M false 4167 A 145681 D Common Stock 2012-08-23 4 S false 1582 4.9718 D 144099 D Common Stock 43750 I By Spouse Common Stock 2500 I By Spouse In Pension Fund Common Stock 2500 I By Trust For Benefit Of Daughter Restricted Stock Units 2012-08-22 4 M false 4167 D Common Stock 4167 8333 D Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the issuer, in cash, Emcore common stock, or a combination of the two. Includes 25,000 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 $4.97 to $5.04 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. 4,167 restricted stock units vesting on August 22, 2012 Remaining unvested restricted stock units vest in two equal annual installments commencing on August 22, 2013. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of both will be delivered to the reporting person. The restricted stock units were awarded to the reporting person for no cash or other similar consideration. /s/ Alfredo Gomez, attorney-in-fact 2012-08-24