0001214659-15-000171.txt : 20150106
0001214659-15-000171.hdr.sgml : 20150106
20150106165313
ACCESSION NUMBER: 0001214659-15-000171
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150102
FILED AS OF DATE: 20150106
DATE AS OF CHANGE: 20150106
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: HOU HONG Q
CENTRAL INDEX KEY: 0001156899
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 15510675
4
1
marketforms-28304.xml
PRIMARY DOCUMENT
X0306
4
2015-01-02
0000808326
EMCORE CORP
EMKR
0001156899
HOU HONG Q
10420 RESEARCH ROAD, SE
ALBUQUERQUE
NM
87123
true
true
false
false
CEO & President
Common Stock
2015-01-02
4
M
false
26666
A
120959
D
Common Stock
2015-01-02
4
M
false
75000
A
195959
D
Common Stock
2015-01-02
4
M
false
5937
A
201896
D
Common Stock
2015-01-02
4
M
false
3333
A
205229
D
Common Stock
12944
I
By 401(k) Plan
Restricted Stock Units
2015-01-02
4
M
false
26666
D
Common Stock
26666
0
D
Restricted Stock Units
2015-01-02
4
M
false
75000
D
Common Stock
75000
0
D
Restricted Stock Units
2015-01-02
4
M
false
5937
D
Common Stock
5937
0
D
Restricted Stock Units
2015-01-02
4
M
false
3333
D
Common Stock
3333
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 January 2, 2015, the Issuer settled the restricted stock units in common stock.
Shares attributable to EMCORE Corporation 401(k) account as of December 31, 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.
On December 10, 2014, the Reporting Person and the Issuer entered into a Separation Agreement and General Release. Pursuant to the terms of the Separation Agreement and General Release, all of the Reporting Person's outstanding equity awards accelerated and vested on January 2, 2015.
The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
/s/ Alfredo Gomez, attorney-in-fact
2015-01-05