0001214659-14-003316.txt : 20140506 0001214659-14-003316.hdr.sgml : 20140506 20140506213547 ACCESSION NUMBER: 0001214659-14-003316 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140505 FILED AS OF DATE: 20140506 DATE AS OF CHANGE: 20140506 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: 14818687 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 gomez.xml OWNERSHIP DOCUMENT X0306 4 2014-05-05 0 0000808326 EMCORE CORP EMKR 0001511120 Gomez Alfredo 10420 RESEARCH ROAD SE ALBUQUERQUE NM 87123 0 1 0 0 Gen. Counsel and Corp. Sec. Common Stock 2014-05-05 4 S 0 1540 4.87 D 12355 D Common Stock 4485 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 March 31, 2014. /s/Alfredo Gomez 2014-05-06