0001214659-13-006737.txt : 20131126 0001214659-13-006737.hdr.sgml : 20131126 20131126181004 ACCESSION NUMBER: 0001214659-13-006737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131122 FILED AS OF DATE: 20131126 DATE AS OF CHANGE: 20131126 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: 131245279 MAIL ADDRESS: STREET 1: EMCORE CORP STREET 2: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 marketforms-21448.xml PRIMARY DOCUMENT X0306 4 2013-11-22 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 2013-11-22 4 A false 5000 A 25484 D Common Stock 2013-11-25 4 S false 1625 4.91 D 23859 D Common Stock 2013-11-25 4 S false 2 4.95 D 23857 D Common Stock 4482 I By 401(k) Plan Restricted Stock Units 2013-11-22 4 A false 15000 0 A Emcore Common Stock 15000 15000 D These shares were issued as part of a 20,000 restricted stock unit grant under the Company?s 2012 Equity Incentive Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). This entry represents a portion of the total grant of restricted stock units that vested immediately and was settled in common stock on the grant date. The shares of common stock were awarded to the reporting person for no cash or other similar consideration. 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 granting of restricted stock units under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d). Shares attributable to EMCORE Corporation 401(k) account as of September 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. Vests in three equal annual installments commencing on November 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 the two 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 2013-11-26