0001214659-16-014154.txt : 20161020 0001214659-16-014154.hdr.sgml : 20161020 20161020163710 ACCESSION NUMBER: 0001214659-16-014154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161018 FILED AS OF DATE: 20161020 DATE AS OF CHANGE: 20161020 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: 2015 W. CHESTNUT STREET CITY: ALHAMBRA STATE: CA ZIP: 91803 BUSINESS PHONE: 626-293-3400 MAIL ADDRESS: STREET 1: 2015 W. CHESTNUT STREET CITY: ALHAMBRA STATE: CA ZIP: 91803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Jikun CENTRAL INDEX KEY: 0001488531 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 161944694 MAIL ADDRESS: STREET 1: 181 W. HUNTINGTON DRIVE STREET 2: SUITE 202 CITY: MONROVIA STATE: CA ZIP: 91016 4 1 marketforms-36439.xml PRIMARY DOCUMENT X0306 4 2016-10-18 0000808326 EMCORE CORP EMKR 0001488531 Kim Jikun C/O 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 false true false false Chief Financial Officer Performance-Based Restricted Stock Units (PSUs) 2016-10-18 4 A false 195180 0 A Emcore Common Stock 195180 195180 D Each PSU represents a contingent right to receive one share of EMCORE common stock, based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of the Russell Microcap Index, that were set by the Compensation Committee of the Board of Directors. The aggregate number of shares issued may range from zero (0) to 200% of the target number of shares reported in columns 7 and 9 of this report. Between zero (0) and 200% of one third of the PSUs will vest, if at all, on each of October 17, 2017, October 17, 2018 and October 17, 2019. The PSUs were awarded to the Reporting Person for no cash or other similar consideration. /s/ Leila Brown, Attorney in Fact 2016-10-20