0001214659-17-000207.txt : 20170109
0001214659-17-000207.hdr.sgml : 20170109
20170109165148
ACCESSION NUMBER: 0001214659-17-000207
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170105
FILED AS OF DATE: 20170109
DATE AS OF CHANGE: 20170109
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: RITTICHIER JEFFREY
CENTRAL INDEX KEY: 0001628825
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 17518365
MAIL ADDRESS:
STREET 1: 2015 CHESTNUT ST
CITY: ALHAMBRA
STATE: CA
ZIP: 91803
4
1
marketforms-37548.xml
PRIMARY DOCUMENT
X0306
4
2017-01-05
0000808326
EMCORE CORP
EMKR
0001628825
RITTICHIER JEFFREY
2015 W. CHESTNUT STREET
ALHAMBRA
CA
91803
true
true
false
false
Chief Executive Officer
Common Stock
2017-01-05
4
M
false
97590
A
196157
D
Common Stock
2017-01-06
4
S
false
38220
8.1505
D
157937
D
Restricted Stock Units
2017-01-05
4
M
false
97590
0
D
Emcore Common Stock
97590
97590
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 5, 2017, the Issuer settled the restricted stock units in common stock.
Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the restricted stock units reported herein. This sale was mandated by the Issuer under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.
Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $8.15 to $8.2129 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.
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.
This amount originally represented 75,000 restricted stock units. The number of restricted stock units was subsequently adjusted, pursuant to the terms of the Issuer's 2012 Equity Incentive Plan, to reflect the effect of an equitable and proportional adjustment made in connection with a special cash dividend paid by the Issuer on July 29, 2016.
97,590 restricted stock units vested on January 5, 2017.
The remaining unvested restricted stock units vest on January 1, 2018. 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 the two will be delivered to the Reporting Person.
/s/ Leila Brown, attorney in fact
2017-01-07