0001214659-13-006362.txt : 20131112 0001214659-13-006362.hdr.sgml : 20131111 20131112205029 ACCESSION NUMBER: 0001214659-13-006362 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131107 FILED AS OF DATE: 20131112 DATE AS OF CHANGE: 20131112 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: GILLEN JOHN CENTRAL INDEX KEY: 0001221541 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 131212168 MAIL ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 145 BELMONT DR. CITY: SOMERSET STATE: NJ ZIP: 08873 4 1 marketforms-20590.xml PRIMARY DOCUMENT X0306 4 2013-11-07 0000808326 EMCORE CORP EMKR 0001221541 GILLEN JOHN C/O EMCORE CORP 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 true false false false Phantom Share Credits 0 2013-11-07 4 A false 6430 0 A Common Stock 6430 6430 D These phantom share credits were credited to the Reporting Person?s account because the Reporting Person elected to defer receipt of shares of common stock that the Reporting Person was entitled to receive for service as a non-employee director pursuant to the EMCORE Corporation 2007 Directors? Stock Award Plan. Each phantom share credit in the Reporting Person?s account entitles the Reporting Person to one share of common stock. The Reporting Person?s account shall be paid out (i) in shares of common stock within 30 days of the Reporting Person ceasing to serve as a director of the Issuer or (ii) immediately prior to a change of control of the Issuer, in shares of common stock or, at the discretion of the board of directors of the Issuer, in cash. Phantom share credits shall not expire. John Gillen 2013-11-07