0001214659-14-008345.txt : 20141212
0001214659-14-008345.hdr.sgml : 20141212
20141212174555
ACCESSION NUMBER: 0001214659-14-008345
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141210
FILED AS OF DATE: 20141212
DATE AS OF CHANGE: 20141212
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: 141284536
MAIL ADDRESS:
STREET 1: EMCORE CORP
STREET 2: 10420 RESEARCH ROAD, SE
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87123
4
1
marketforms-27876.xml
PRIMARY DOCUMENT
X0306
4
2014-12-10
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
2014-12-10
4
M
false
13333
A
55398
D
Common Stock
2014-12-10
4
M
false
10000
A
65398
D
Common Stock
2014-12-10
4
M
false
50000
A
115398
D
Common Stock
2014-12-11
4
S
false
23987
5.03
D
91411
D
Common Stock
6583
I
By 401(k) Plan
Restricted Stock Units
2014-12-10
4
M
false
13333
D
Common Stock
13333
0
D
Restricted Stock Units
2014-12-10
4
M
false
10000
D
Common Stock
10000
0
D
Restricted Stock Units
2014-12-10
4
M
false
50000
D
Common Stock
50000
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 10, 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 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.
The Issuer entered into an asset purchase agreement with Photon Acquisition Corporation, an affiliate of private equity firm Veritas Capital ("Veritas"), dated September 17, 2014, to sell substantially all of the assets, and transfer substantially all of the liabilities, primarily related to or used in the Issuer's photovoltaics business to Photon Acquisition Corporation (the "Asset Sale"). On December 10, 2014, all outstanding restricted stock units of the Reporting Person vested upon consummation of the Asset Sale.
The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
/s/ Alfredo Gomez, attorney-in-fact
2014-12-12