0001214659-14-000462.txt : 20140117
0001214659-14-000462.hdr.sgml : 20140117
20140117193519
ACCESSION NUMBER: 0001214659-14-000462
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: HOU HONG Q
CENTRAL INDEX KEY: 0001156899
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22175
FILM NUMBER: 14536384
4
1
marketforms-22150.xml
PRIMARY DOCUMENT
X0306
4
2014-01-15
0000808326
EMCORE CORP
EMKR
0001156899
HOU HONG Q
10420 RESEARCH ROAD, SE
ALBUQUERQUE
NM
87123
true
true
false
false
CEO & President
Common Stock
2014-01-15
4
M
false
13334
A
94453
D
Common Stock
2014-01-16
4
S
false
170
4.9054
D
94283
D
Common Stock
2014-01-16
4
S
false
5037
4.79
D
89246
D
Common Stock
9505
I
By 401(k) Plan
Restricted Stock Units
2014-01-15
4
M
false
13334
D
Common Stock
13334
26666
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.
13,334 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, attorney-in-fact
2014-01-17