0001214659-23-004235.txt : 20230327 0001214659-23-004235.hdr.sgml : 20230327 20230327160849 ACCESSION NUMBER: 0001214659-23-004235 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230323 FILED AS OF DATE: 20230327 DATE AS OF CHANGE: 20230327 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: 23764630 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-61014.xml PRIMARY DOCUMENT X0407 4 2023-03-23 0000808326 EMCORE CORP EMKR 0001628825 RITTICHIER JEFFREY 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 true true false false Chief Executive Officer 0 Restricted Stock Units 2023-03-23 4 A false 217100 A 683900 D Common Stock 2023-03-23 4 F false 19678 1.15 D 664222 D Performance-Based Restricted Stock Units (PSUs) 2023-03-23 4 A false 217100 0 A Common Stock 217100 217100 D Each restricted stock unit (RSU) represents a contingent right to receive one share of EMCORE common stock. The RSUs were issued pursuant to the Amended and Restated EMCORE Corporation 2019 Equity Incentive Plan. The RSUs 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. On April 27, 2022, the Reporting Person filed a Form 4 which inadvertently reported that he directly owned 400,134 shares of Common Stock. The Reporting Person directly owned 466,800 shares of Common Stock following the transactions reported on such Form 4. On March 23, 2021, the Reporting Person was granted 130,000 RSUs, vesting in four equal annual installments beginning on the first anniversary of the grant date, which grant was previously reported on a Form 4, Table I. The Reporting Person vested in 32,500 shares on March 23, 2023 from this RSU award. The number of shares reported here represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligation in connection with the vesting of the RSUs on March 23, 2023. Each Performance-Based Restricted Stock Unit (PSU) represents a contingent right to receive one share of EMCORE common stock, based on a threshold average closing share price for EMCORE's common stock, as set by the Compensation Committee of the Board of Directors, during any 30-day period within the three-year period following the grant date. Either zero (0) or 100% of the PSUs will vest, if at all, on March 23, 2026, subject to the Reporting Person's continued service with the Issuer through such date. /s/ Ryan Hochgesang, attorney in fact 2023-03-27