Filing Details

Accession Number:
0001214659-12-002880
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-06-27 22:04:55
Reporting Period:
2012-06-25
Filing Date:
2012-06-27
Accepted Time:
2012-06-27 21:04:55
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
1511120 Alfredo Gomez 10420 Research Road Se
Albuquerque NM 87123
Gen. Counsel And Corp. Sec. 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 8,750 $0.00 31,658 No 4 A Direct
Common Stock Disposition 2012-06-27 2,990 $4.00 28,668 No 4 S Indirect By Trust 401(K)
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Indirect By Trust 401(K)
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,783 Indirect By Trust 401(K)
Footnotes
  1. 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.
  2. The shares of common stock were awarded to the reporting person for no cash or other similar consideration.
  3. Includes 8,333 shares of restricted stock vesting as follows: 4,167 shares of restricted stock will vest on January 28, 2013 and 4,166 shares of restricted stock will vest on January 28, 2014; and 8,334 shares of restricted stock vesting in two equal annual installments beginning on May 3, 2013
  4. 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).
  5. 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.
  6. Shares attributable to EMCORE Corporation 401(k) account as of March 31, 2012.