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