0001214659-13-004911.txt : 20130826 0001214659-13-004911.hdr.sgml : 20130826 20130826193417 ACCESSION NUMBER: 0001214659-13-004911 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130822 FILED AS OF DATE: 20130826 DATE AS OF CHANGE: 20130826 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: Gomez Alfredo CENTRAL INDEX KEY: 0001511120 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 131061151 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 marketforms-19472.xml PRIMARY DOCUMENT X0306 4 2013-08-22 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 2013-08-22 4 M false 3750 A 13288 D Common Stock 2013-08-23 4 S false 1417 3.8398 D 11871 D Common Stock 3258 I By 401(k) Plan Restricted Stock Units 2013-08-22 4 M false 3750 D Common Stock 3750 3750 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 August 22, 2013, the Issuer settled the restricted stock units in common stock. Includes 4,167 shares of restricted stock vesting on January 28, 2014, and 4,166 shares of restricted stock vesting on May 3, 2014. 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 $3.83 to $3.84 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. Shares attributable to EMCORE Corporation 401(k) account as of June 30, 2013. 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. 3,750 restricted stock units vested on August 22, 2013. Remaining unvested restricted stock units vest on August 22, 2014. 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 2013-08-26