0001214659-21-003445.txt : 20210325
0001214659-21-003445.hdr.sgml : 20210325
20210325161313
ACCESSION NUMBER: 0001214659-21-003445
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210323
FILED AS OF DATE: 20210325
DATE AS OF CHANGE: 20210325
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lu Albert
CENTRAL INDEX KEY: 0001701001
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 21772500
MAIL ADDRESS:
STREET 1: 2015 CHESTNUT STREET
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-51900.xml
PRIMARY DOCUMENT
X0306
4
2021-03-23
0000808326
EMCORE CORP
EMKR
0001701001
Lu Albert
2015 W. CHESTNUT STREET
ALHAMBRA
CA
91803
false
true
false
false
Sr. V.P. of Engineering
Restricted Stock Units
2021-03-23
4
A
false
38000
A
80337
D
Performance-Based Restricted Stock Units (PSUs)
2021-03-23
4
A
false
38000
0
A
Emcore Common Stock
38000
38000
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 Amended and Restated EMCORE Corporation 2019 Equity Incentive Plan. The restricted stock units vest as to 1/4 of the underlying shares on each of the first four anniversaries of the grant date, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.
Each PSU represents a contingent right to receive one share of EMCORE common stock, based on the Issuer's total shareholder return (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 reported in column 7 of this report.
Between zero (0) and 200% of the PSUs will vest, if at all, on March 22, 2024, subject to the Reporting Person's continued service with the Issuer through such date.
The PSUs were awarded to the Reporting Person for no cash or other similar consideration.
Ryan Hochgesang, attorney in fact
2021-03-25