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