Filing Details
- Accession Number:
- 0001214659-16-009665
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-02-18 19:22:37
- Reporting Period:
- 2016-02-16
- Filing Date:
- 2016-02-18
- Accepted Time:
- 2016-02-18 19:22:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1628825 | Jeffrey Rittichier | 2015 W. Chestnut Street Alhambra CA 91803 | Chief Executive 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 | 2016-02-16 | 12,500 | $0.00 | 103,293 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2016-02-17 | 4,726 | $5.08 | 98,567 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | 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 | 2016-02-16 | 37,500 | $0.00 | 37,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 37,500 | No | 4 | A | Direct |
Footnotes
- These shares were issued as part of a 50,000 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.
- 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 February 16, 2017. 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.
Billionaire Hedge Funds
