0001214659-17-006168.txt : 20171025 0001214659-17-006168.hdr.sgml : 20171025 20171025193639 ACCESSION NUMBER: 0001214659-17-006168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171024 FILED AS OF DATE: 20171025 DATE AS OF CHANGE: 20171025 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: 171154206 MAIL ADDRESS: STREET 1: 2015 CHESTNUT ST CITY: ALHAMBRA STATE: CA ZIP: 91803 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 4 1 marketforms-39959.xml PRIMARY DOCUMENT X0306 4 2017-10-24 0000808326 EMCORE CORP EMKR 0001628825 RITTICHIER JEFFREY 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 true true false false Chief Executive Officer Common Stock 2017-10-24 4 M false 56257 A 297353 D Common Stock 2017-10-24 4 F false 28936 8.40 D 268417 D Performance-Based Restricted Stock Units (PSUs) 2017-10-24 4 M false 33334 D Emcore Common Stock 33334 33333 D Represents shares of Issuer common stock subject to an award of performance-based restricted stock units ("PSUs") that vests based on the Issuer's total shareholder return ("TSR") compared to pre-established TSR goals, based on the TSR of the Russell Microcap Index, that were set by the Compensation Committee of the Board of Directors. The Compensation Committee determined on October 24, 2017 that the number of PSUs earned was 168.77% of the target number of PSUs subject to the first tranche of the award. The PSUs were awarded to the Reporting Person for no cash or other similar consideration. Reflects a correction in the number of shares of common stock reported as beneficially owned by the Reporting Person in prior reports due to an inadvertent error that appeared in the prior reports. Represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligations in connection with the vesting of the PSUs reported herein. Each PSU represented a contingent right to receive one share of the Issuer's common stock, based on the Issuer's 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 granted. PSUs that become vested and nonforfeitable are paid in shares of Common Stock as soon as practicable following the vesting date. /s/ Ryan Hochgesang, attorney in fact 2017-10-25