0001214659-12-004352.txt : 20121002 0001214659-12-004352.hdr.sgml : 20121002 20121002195817 ACCESSION NUMBER: 0001214659-12-004352 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121002 DATE AS OF CHANGE: 20121002 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: 121125080 MAIL ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH CORP CITY: SOMERSET STATE: NJ ZIP: 08893 4 1 marketforms-6545.xml PRIMARY DOCUMENT X0306 4 2012-09-30 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 Common Stock 2012-09-30 4 M false 8333 A 145074 D Common Stock 2012-09-30 4 M false 17812 A 162886 D Common Stock 2012-09-30 4 M false 10000 A 172886 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 2012-09-30 4 M false 8333 D 2015-09-30 Common Stock 8333 0 D Restricted Stock Units 2012-09-30 4 M false 17812 D 2015-09-30 Common Stock 17812 0 D Restricted Stock Units 2012-09-30 4 M false 10000 D 2015-09-30 Common Stock 10000 0 D Each restricted stock unit represented a contingent right to receive one share of Emcore common stock. Restricted stock units were payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two. On September 30, 2012, the Issuer settled the restricted stock units in common stock. Pursuant to a general separation and release agreement, dated August 6, 2012, between the Issuer and the Reporting Person, all outstanding restricted stock units of the Reporting Person vested on September 30, 2012, in conjunction with the Reporting Person?s separation from the Issuer. The restricted stock units were awarded to the reporting person for no cash or other similar consideration. /s/ Alfredo Gomez, attorney-in-fact 2012-10-02