0001214659-20-008752.txt : 20201020 0001214659-20-008752.hdr.sgml : 20201020 20201020161645 ACCESSION NUMBER: 0001214659-20-008752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201017 FILED AS OF DATE: 20201020 DATE AS OF CHANGE: 20201020 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: 201248495 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-49860.xml PRIMARY DOCUMENT X0306 4 2020-10-17 0000808326 EMCORE CORP EMKR 0001628825 RITTICHIER JEFFREY 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 true true false false Chief Executive Officer Common Stock 2020-10-18 4 M false 9346 A 267013 D Common Stock 2020-10-19 4 F false 4827 3.35 D 262186 D Common Stock 2020-10-19 4 F false 4211 3.35 D 257975 D Restricted Stock Units (RSUs) 2020-10-18 4 M false 9346 D Emcore Common Stock 9346 95000 D 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. 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 shares of restricted stock issued to the Reporting Person on September 29, 2017 in connection with an equity award originally granted on October 18, 2016. 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 2020-10-20