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