0001214659-14-007969.txt : 20141125
0001214659-14-007969.hdr.sgml : 20141125
20141125144529
ACCESSION NUMBER: 0001214659-14-007969
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141122
FILED AS OF DATE: 20141125
DATE AS OF CHANGE: 20141125
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: WEINSWIG MARK
CENTRAL INDEX KEY: 0001265677
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 141249195
MAIL ADDRESS:
STREET 1: EMCORE CORP
STREET 2: 10420 RESEARCH ROAD, SE
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87123
4
1
marketforms-27373.xml
PRIMARY DOCUMENT
X0306
4
2014-11-22
0000808326
EMCORE CORP
EMKR
0001265677
WEINSWIG MARK
C/O EMCORE CORPORATION
10420 RESEARCH ROAD, SE
ALBUQUERQUE
NM
87123
false
true
false
false
Chief Financial Officer
Common Stock
2014-11-22
4
M
false
5000
A
41671
D
Common Stock
2014-11-24
4
S
false
1625
5.21
D
40046
D
Common Stock
6583
I
By 401(k) Plan
Restricted Stock Units
2014-11-22
4
M
false
5000
0
D
Emcore Common Stock
5000
10000
D
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. On November 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 granting 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 September 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.
5,000 restricted stock units vested on November 22, 2014.
Remaining unvested restricted stock units vest in two equal annual installments commencing on November 22, 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 the two 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
2014-11-25