Filing Details

Accession Number:
0001214659-15-000197
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-07 17:36:23
Reporting Period:
2015-01-05
Filing Date:
2015-01-07
Accepted Time:
2015-01-07 17:36:23
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 2015-01-05 75,000 $0.00 75,000 No 4 A Direct
Common Stock Disposition 2015-01-06 29,563 $5.18 45,437 No 4 S Direct
Common Stock Disposition 2015-01-06 475 $5.23 44,962 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2015-11-05 225,000 $0.00 225,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
225,000 No 4 A Direct
Footnotes
  1. These shares were issued as part of a 300,000 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.
  2. The shares of common stock were awarded to the Reporting Person for no cash or other similar consideration.
  3. All sales were effected 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).
  4. 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.
  5. Vests in three equal annual installments commencing on January 5, 2016. 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.
  6. The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.