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