0001214659-14-008242.txt : 20141209 0001214659-14-008242.hdr.sgml : 20141209 20141209123815 ACCESSION NUMBER: 0001214659-14-008242 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141206 FILED AS OF DATE: 20141209 DATE AS OF CHANGE: 20141209 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: 001-36632 FILM NUMBER: 141274536 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 marketforms-27739.xml PRIMARY DOCUMENT X0306 4 2014-12-06 0000808326 EMCORE CORP EMKR 0001511187 Van Berkel Monica 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 false true false false Chief Admin. Officer Common Stock 2014-12-06 4 M false 2256 A 29429 D Common Stock 2014-12-08 4 S false 856 5.10 D 28573 D Common Stock 2014-12-08 4 S false 5 5.13 D 28568 D Common Stock 10200 I By 401(k) Plan Restricted Stock Units 2014-12-06 4 M false 2256 D Common Stock 2256 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 December 6, 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 restricted stock units 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 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. 2,256 restricted stock units vested on December 6, 2014. All shares in this grant have vested. The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. /s/ Alfredo Gomez, attorney-in-fact 2014-12-09