0001214659-15-000181.txt : 20150106 0001214659-15-000181.hdr.sgml : 20150106 20150106192448 ACCESSION NUMBER: 0001214659-15-000181 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: Van Berkel Monica CENTRAL INDEX KEY: 0001511187 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 15511718 MAIL ADDRESS: STREET 1: 10420 RESEARCH ROAD, SE CITY: ALBUQUERQUE STATE: NM ZIP: 87123 4 1 marketforms-28303.xml PRIMARY DOCUMENT X0306 4 2015-01-02 0000808326 EMCORE CORP EMKR 0001511187 Van Berkel Monica 10420 RESEARCH ROAD, SE ALBUQUERQUE NM 87123 false true false false Chief Admin. Officer Common Stock 2015-01-02 4 M false 10000 A 38568 D Common Stock 2015-01-02 4 M false 40000 A 78568 D Common Stock 10927 I By 401(k) Plan Restricted Stock Units 2015-01-02 4 M false 10000 D Common Stock 10000 0 D Restricted Stock Units 2015-01-02 4 M false 40000 D Common Stock 40000 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 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. 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