0001214659-13-000458.txt : 20130131 0001214659-13-000458.hdr.sgml : 20130131 20130131165442 ACCESSION NUMBER: 0001214659-13-000458 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: Gomez Alfredo CENTRAL INDEX KEY: 0001511120 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 13563286 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-11782.xml PRIMARY DOCUMENT X0306 4 2013-01-29 0000808326 EMCORE CORP EMKR 0001511120 Gomez Alfredo 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 false true false false Gen. Counsel and Corp. Sec. Common Stock 2013-01-29 4 S false 1887 5.5926 D 28816 D Common Stock 2698 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 $5.70 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 4,167 shares of restricted stock vesting on January 28, 2014, and 8,334 shares of restricted stock vesting in two equal annual installments beginning on May 3, 2013. Shares attributable to EMCORE Corporation 401(k) account as of December 31, 2012. /s/Alfredo Gomez 2013-01-30