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