Home > Insider Trading > Filing (0001214659-13-006737)

Filing Details

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
Common Stock	Acquisiton	2013-11-22	5,000	$0.00	25,484	No	4	A	Direct
Common Stock	Disposition	2013-11-25	1,625	$4.91	23,859	No	4	S	Direct
Common Stock	Disposition	2013-11-25	2	$4.95	23,857	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Emcore Common Stock	Restricted Stock Units	Acquisiton	2013-11-22	15,000	$0.00	15,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
15,000			No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,482	Indirect	By 401(k) Plan

Footnotes

These shares were issued as part of a 20,000 restricted stock unit grant under the Company?s 2012 Equity Incentive Plan in a transaction exempt from Section 16b pursuant to Rule 16b-3(d). This entry represents a portion of the total grant of restricted stock units that vested immediately and was 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 granting of restricted stock units under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d).
Shares attributable to EMCORE Corporation 401(k) account as of September 30, 2013.
Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
Vests in three equal annual installments commencing on November 22, 2014. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of the two will be delivered to the reporting person.
The restricted stock units were awarded to the reporting person for no cash or other similar consideration.