0001214659-21-003323.txt : 20210322 0001214659-21-003323.hdr.sgml : 20210322 20210322161550 ACCESSION NUMBER: 0001214659-21-003323 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210318 FILED AS OF DATE: 20210322 DATE AS OF CHANGE: 20210322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Heiks Noel CENTRAL INDEX KEY: 0001788308 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 21761467 MAIL ADDRESS: STREET 1: C/O EMCORE CORPORATION STREET 2: 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-52056.xml PRIMARY DOCUMENT X0306 4 2021-03-18 0000808326 EMCORE CORP EMKR 0001788308 Heiks Noel C/O EMCORE CORPORATION 2015 CHESTNUT ST. ALHAMBRA CA 91803 true false false false Common Stock 2021-03-18 4 M false 36986 0 A 47180 D Restricted Stock Units 2021-03-19 4 A false 33632 A 80812 D Restricted Stock Units 2021-03-18 4 M false 36986 0 D Common Stock 36986 0 D Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. The restricted stock units were issued pursuant to the EMCORE Corporation 2019 Equity Incentive Plan in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest as to 1/3 of the underlying shares on the earlier of (i) each of the first three anniversaries of the grant date or (ii) the day prior to the Issuer's annual meeting of shareholders for the applicable year, in each case subject to the Reporting Person's continued service as a non-employee director. Each restricted stock unit converts into a share of the Issuer's common stock on a one-for-one basis. On March 20, 2020, the Reporting Person was granted 36,986 restricted stock units, vesting in full on the earlier of (i) the day immediately prior to the Issuer's 2021 annual meeting of shareholders or (ii) March 20, 2021. Ryan Hochgesang, as attorney-in-fact 2021-03-22