0001214659-13-000457.txt : 20130131
0001214659-13-000457.hdr.sgml : 20130131
20130131165421
ACCESSION NUMBER: 0001214659-13-000457
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130129
FILED AS OF DATE: 20130131
DATE AS OF CHANGE: 20130131
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: 13563283
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-11783.xml
PRIMARY DOCUMENT
X0306
4
2013-01-29
0000808326
EMCORE CORP
EMKR
0001156899
HOU HONG Q
10420 RESEARCH ROAD, SE
ALBUQUERQUE
NM
87123
true
true
false
false
CEO & President
Common Stock
2013-01-29
4
S
false
4838
5.5930
D
71477
D
Common Stock
7730
I
By 401(k) Plan
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 $5.59 to $5.71 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.
Includes 12,500 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting on January 28, 2014.
Shares attributable to EMCORE Corporation 401(k) account as of December 31, 2012.
/s/ Alfredo Gomez, attorney-in-fact
2013-01-30