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