0001214659-14-000668.txt : 20140130 0001214659-14-000668.hdr.sgml : 20140130 20140130182955 ACCESSION NUMBER: 0001214659-14-000668 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140129 FILED AS OF DATE: 20140130 DATE AS OF CHANGE: 20140130 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: Van Berkel Monica CENTRAL INDEX KEY: 0001511187 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 14561989 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 marketforms-22458.xml PRIMARY DOCUMENT X0306 4 2014-01-29 0000808326 EMCORE CORP EMKR 0001511187 Van Berkel Monica 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 false true false false Chief Admin. Officer Common Stock 2014-01-29 4 S false 70 4.85 D 27030 D Common Stock 2014-01-29 4 S false 2210 4.76 D 24820 D Common Stock 8389 I By 401(k) Plan 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 shares of restricted stock that were granted under the Company's 2010 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. /s/ Alfredo Gomez, attorney-in-fact 2014-01-30