13D Filing: Viex Capital Advisors and Emcore Corp (NASDAQ:EMKR)

B.

VSO II

(a)

As of the close of business on April 20, 2016, VSO II beneficially owned 670,281 Shares.

Percentage: Approximately 2.6%

(b)

1. Sole power to vote or direct vote: 0

2. Shared power to vote or direct vote: 670,281

3. Sole power to dispose or direct the disposition: 0

4. Shared power to dispose or direct the disposition: 670,281

(c)

The transactions in the Shares by VSO II since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference.

C.

VIEX GP

(a)

VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the 1,089,296 shares owned by Series One.

Percentage: Approximately 4.2%

(b)

1. Sole power to vote or direct vote: 0

2. Shared power to vote or direct vote: 1,089,296

3. Sole power to dispose or direct the disposition: 0

4. Shared power to dispose or direct the disposition: 1,089,296

(c)

VIEX GP has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the shares on behalf of Series One since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference.

D.

VSO GP II

(a)

VSO GP II, as the general partner of VSO II, may be deemed the beneficial owner of the 670,281 shares owned by VSO II.

Percentage: Approximately 2.6%

(b)

1. Sole power to vote or direct vote: 0

2. Shared power to vote or direct vote: 670,281

3. Sole power to dispose or direct the disposition: 0

4. Shared power to dispose or direct the disposition: 670,281

(c)

VSO GP II has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the Shares on behalf of VSO II since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference.

13D Filing: Viex Capital Advisors and Emcore Corp (NASDAQ:EMKR)

Published on April 21, 2016 at 2:05 pm by Insider Monkey Staff in Hedge Funds, News

Page 9 of 12 – SEC Filing

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