0001214659-23-004237.txt : 20230327
0001214659-23-004237.hdr.sgml : 20230327
20230327160924
ACCESSION NUMBER: 0001214659-23-004237
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: Black Iain
CENTRAL INDEX KEY: 0001734945
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 23764638
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-61012.xml
PRIMARY DOCUMENT
X0407
4
2023-03-23
0000808326
EMCORE CORP
EMKR
0001734945
Black Iain
2015 W. CHESTNUT STREET
ALHAMBRA
CA
91803
false
true
false
false
SVP, Operations
0
Restricted Stock Units
2023-03-23
4
A
false
56400
A
111248
D
Common Stock
2023-03-23
4
F
false
2956
1.15
D
108292
D
Performance-Based Restricted Stock Units (PSUs)
2023-03-23
4
A
false
56400
0
A
Common Stock
56400
56400
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 March 23, 2021, the Reporting Person was granted 29,000 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 7,250 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