0001214659-15-000619.txt : 20150127
0001214659-15-000619.hdr.sgml : 20150127
20150127182025
ACCESSION NUMBER: 0001214659-15-000619
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150123
FILED AS OF DATE: 20150127
DATE AS OF CHANGE: 20150127
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: Gomez Alfredo
CENTRAL INDEX KEY: 0001511120
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 15552773
MAIL ADDRESS:
STREET 1: 10420 RESEARCH ROAD SE
CITY: ALBUQUERQUE
STATE: NM
ZIP: 87123
4
1
marketforms-29100.xml
PRIMARY DOCUMENT
X0306
4
2015-01-23
0000808326
EMCORE CORP
EMKR
0001511120
Gomez Alfredo
2015 W. CHESTNUT STREET
ALHAMBRA
CA
91803
false
true
false
false
Gen. Counsel and Corp. Sec.
Common Stock
2015-01-23
4
M
false
13334
A
32075
D
Common Stock
2015-01-26
4
S
false
5611
5.10
D
26464
D
Common Stock
2015-01-26
4
S
false
59
5.15
D
26405
D
Common Stock
6667
I
By 401(k) Plan
Restricted Stock Units
2015-01-23
4
M
false
13334
D
Common Stock
13334
26666
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 23, 2015, 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 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 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.
13,334 restricted stock units vested on January 23, 2015.
The remaining unvested restricted stock units vest in two equal annual installments commencing on January 23, 2016. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of both will be delivered to the Reporting Person.
The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
/s/Alfredo Gomez
2015-01-27