Filing Details

Accession Number:
0001127602-12-004226
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-02-06 17:06:05
Reporting Period:
2012-01-30
Filing Date:
2012-02-06
Accepted Time:
2012-02-06 17:06:05
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
1156899 Q Hong Hou 10420 Research Road, Se
Albuquerque, Nm 87123
Ceo & President Yes Yes 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
Emcore Common Stock Disposition 2012-01-30 20,034 $1.12 320,489 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2012-01-30 95,000 $0.00 95,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
95,000 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Emcore Common Stock 22,689 Indirect By Trust 401(k)
Footnotes
  1. The restricted stock units vest in four equal installments as follows: February 14, 2012 and January 30, 2013; January 30, 2014, and January 30, 2015. 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 both will be delivered to the reporting person.
  2. Includes 100,000 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting in two equal annual installments beginning on January 28, 2013.
  3. The restricted stock units were awarded to the reporting person for no cash or other similar consideration.
  4. Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $1.06 to $1.12 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.
  5. 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.