0001214659-12-005685.txt : 20121231 0001214659-12-005685.hdr.sgml : 20121231 20121231125820 ACCESSION NUMBER: 0001214659-12-005685 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121228 FILED AS OF DATE: 20121231 DATE AS OF CHANGE: 20121231 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOU HONG Q CENTRAL INDEX KEY: 0001156899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 121293037 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-10041.xml PRIMARY DOCUMENT X0306 4 2012-12-28 0000808326 EMCORE CORP EMKR 0001156899 HOU HONG Q 10420 RESEARCH ROAD, SE ALBUQUERQUE, NM 87123 true true false false CEO & President Common Stock 2012-12-28 4 S false 3436 4.3358 D 76315 D Common Stock 7734 I By 401(k) Plan The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $4.29 to $4.4112 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. /s/ Alfredo Gomez, attorney-in-fact 2012-12-31