0001214659-19-006548.txt : 20191021 0001214659-19-006548.hdr.sgml : 20191021 20191021163454 ACCESSION NUMBER: 0001214659-19-006548 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191017 FILED AS OF DATE: 20191021 DATE AS OF CHANGE: 20191021 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: 191159858 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-45957.xml PRIMARY DOCUMENT X0306 4 2019-10-17 0000808326 EMCORE CORP EMKR 0001628825 RITTICHIER JEFFREY 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 true true false false Chief Executive Officer Common Stock 2019-10-17 4 D false 66666 0 D 284437 D Common Stock 2019-10-18 4 M false 17500 A 301937 D Common Stock 2019-10-18 4 F false 8676 2.96 D 293261 D Restricted Stock Units (RSUs) 2019-10-18 4 M false 17500 D Emcore Common Stock 17500 139346 D Represents shares of performance-based restricted common stock that vested into zero shares of Issuer common stock 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 shares of performance based restricted stock were awarded to the Reporting Person for no cash or other similar consideration. The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. 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 restricted stock units reported herein. 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. RSUs 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 2019-10-21