0001214659-23-004236.txt : 20230327
0001214659-23-004236.hdr.sgml : 20230327
20230327160906
ACCESSION NUMBER: 0001214659-23-004236
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: Minichiello Thomas P.
CENTRAL INDEX KEY: 0001411719
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 23764632
MAIL ADDRESS:
STREET 1: 750 N. COMMONS DRIVE
CITY: AURORA
STATE: IL
ZIP: 60504
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-61013.xml
PRIMARY DOCUMENT
X0407
4
2023-03-23
0000808326
EMCORE CORP
EMKR
0001411719
Minichiello Thomas P.
2015 CHESTNUT ST.
ALHAMBRA
CA
91803
false
true
false
false
Chief Financial Officer
0
Restricted Stock Units
2023-03-23
4
A
false
80800
A
163903
D
Common Stock
2023-03-23
4
F
false
2520
1.15
D
161383
D
Performance-Based Restricted Stock Units (PSUs)
2023-03-23
4
A
false
80800
0
A
Common Stock
80800
80800
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 August 29, 2022, the Reporting Person filed a Form 4 which inadvertently reported that he directly owned 91,603 shares of Common Stock. The Reporting Person directly owned 83,103 shares of Common Stock following the transactions reported on such Form 4.
On March 23, 2021, the Reporting Person was granted 34,000 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 8,500 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.
Ryan Hochgesang, attorney in fact
2023-03-27