0001214659-13-004912.txt : 20130826
0001214659-13-004912.hdr.sgml : 20130826
20130826193435
ACCESSION NUMBER: 0001214659-13-004912
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: WEINSWIG MARK
CENTRAL INDEX KEY: 0001265677
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22175
FILM NUMBER: 131061152
MAIL ADDRESS:
STREET 1: EMCORE CORP
STREET 2: 10420 RESEARCH ROAD, SE
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87123
4
1
marketforms-19471.xml
PRIMARY DOCUMENT
X0306
4
2013-08-22
0000808326
EMCORE CORP
EMKR
0001265677
WEINSWIG MARK
C/O EMCORE CORPORATION
10420 RESEARCH ROAD, SE
ALBUQUERQUE
NM
87123
false
true
false
false
Chief Financial Officer
Common Stock
2013-08-22
4
M
false
4167
A
18415
D
Common Stock
2013-08-23
4
S
false
1346
3.8398
D
17069
D
Common Stock
2013-08-23
4
A
false
3415
3.349
A
20484
D
Common Stock
3811
I
By 401(k) Plan
Restricted Stock Units
2013-08-22
4
M
false
4167
D
Common Stock
4167
4166
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.
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 acquired through the EMCORE Corporation 2000 Employee Stock Purchase Plan in a transaction exempt from Section 16(b) pursuant to Rule 16b-3(d).
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.
4,167 restricted stock units vesting 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, attorney-in-fact
2013-08-26