0001214659-14-000460.txt : 20140117 0001214659-14-000460.hdr.sgml : 20140117 20140117193455 ACCESSION NUMBER: 0001214659-14-000460 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140115 FILED AS OF DATE: 20140117 DATE AS OF CHANGE: 20140117 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: 14536382 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 marketforms-22152.xml PRIMARY DOCUMENT X0306 4 2014-01-15 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 2014-01-15 4 M false 5000 A 18080 D Common Stock 2014-01-16 4 S false 74 4.8801 D 18006 D Common Stock 2014-01-16 4 S false 2210 4.79 D 15796 D Common Stock 4124 I By 401(k) Plan Restricted Stock Units 2014-01-15 4 M false 5000 D Common Stock 5000 10000 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 January 15, 2014, 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 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 December 31, 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. 5,000 restricted stock units vested on January 15, 2014. The remaining unvested restricted stock units vest in two equal annual installments commencing on January 15, 2015. 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 2014-01-17