0001214659-21-013751.txt : 20211229 0001214659-21-013751.hdr.sgml : 20211229 20211229162301 ACCESSION NUMBER: 0001214659-21-013751 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211228 FILED AS OF DATE: 20211229 DATE AS OF CHANGE: 20211229 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: 211529127 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-54816.xml PRIMARY DOCUMENT X0306 4 2021-12-28 0000808326 EMCORE CORP EMKR 0001701001 Lu Albert 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 false true false false Sr. V.P. of Engineering Common Stock 2021-12-28 4 M false 3500 A 71207 D Common Stock 2021-12-28 4 F false 1210 7.03 D 69997 D Restricted Stock Units (RSUs) 2021-12-28 4 M false 3500 D Emcore Common Stock 3500 0 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. Each restricted stock unit represented a contingent right to receive one share of Emcore common stock. On December 28, 2017, the reporting person was granted 14,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date Ryan Hochgesang, attorney in fact 2021-12-29