0001214659-14-006168.txt : 20140826 0001214659-14-006168.hdr.sgml : 20140826 20140826182346 ACCESSION NUMBER: 0001214659-14-006168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140822 FILED AS OF DATE: 20140826 DATE AS OF CHANGE: 20140826 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: 141066159 4 1 marketforms-25692.xml PRIMARY DOCUMENT X0306 4 2014-08-22 0000808326 EMCORE CORP EMKR 0001156899 HOU HONG Q 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 true true false false CEO & President Common Stock 2014-08-22 4 M false 4166 A 95620 D Common Stock 2014-08-25 4 S false 1327 4.23 D 94293 D Common Stock 10705 I By 401(k) Plan Restricted Stock Units 2014-08-22 4 M false 4166 D Common Stock 4166 0 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 August 22, 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). Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $4.23 to $4.27 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price. Shares attributable to EMCORE Corporation 401(k) account as of June 30, 2014. 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. 4,166 restricted stock units vested on August 22, 2014. The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. /s/ Alfredo Gomez, attorney-in-fact 2014-08-26