Filing Details
- Accession Number:
- 0001214659-12-002878
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-06-27 22:04:03
- Reporting Period:
- 2012-06-25
- Filing Date:
- 2012-06-27
- Accepted Time:
- 2012-06-27 21:04:03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 808326 | Emcore Corp | EMKR | Semiconductors & Related Devices (3674) | 222746503 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1265677 | Mark Weinswig | C/O Emcore Corporation 10420 Research Road, Se Albuquerque NM 87123 | Chief Financial Officer | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-06-25 | 12,500 | $0.00 | 24,159 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2012-06-27 | 3,650 | $4.00 | 20,509 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,583 | Indirect | By 401(k) Plan |
Footnotes
- Shares were granted as restricted stock units under the Company?s 2010 Equity Incentive Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). The restricted stock units vested immediately and were settled in common stock on the grant date.
- The shares of common stock were awarded to the reporting person for no cash or other similar consideration.
- All sales were effected pursuant to a 10b5-1 plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the vesting of shares of restricted stock that were granted under the Company's 2010 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d).
- Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $3.97 to $4.00 per share. The reporting person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
- Shares attributable to EMCORE Corporation 401(k) account as of March 31, 2012.
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