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
- 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.
- 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.
- The restricted stock units were awarded to the reporting person for no cash or other similar consideration.
- 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.
- 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.