0001214659-14-001931.txt : 20140311 0001214659-14-001931.hdr.sgml : 20140311 20140311185908 ACCESSION NUMBER: 0001214659-14-001931 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140308 FILED AS OF DATE: 20140311 DATE AS OF CHANGE: 20140311 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: 14685703 4 1 marketforms-22843.xml PRIMARY DOCUMENT X0306 4 2014-03-08 0000808326 EMCORE CORP EMKR 0001156899 HOU HONG Q 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 true true false false CEO & President Common Stock 2014-03-08 4 M false 3333 A 92539 D Common Stock 2014-03-10 4 S false 1085 5.15 D 91454 D Common Stock 9505 I By 401(k) Plan Restricted Stock Units 2014-03-08 4 M false 3333 D Common Stock 3333 3333 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 March 8, 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 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. Each restricted stock unit represented 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. 3,333 shares of restricted stock vested on March 8, 2014. The remaining unvested restricted stock units vest on March 8, 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 2014-03-11