Filing Details
- Accession Number:
- 0001214659-17-006129
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-10-19 20:05:37
- Reporting Period:
- 2017-10-18
- Accepted Time:
- 2017-10-19 20:05:37
- 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 | 2017-10-18 | 17,500 | $0.00 | 288,505 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-10-19 | 9,189 | $8.45 | 279,316 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 (RSUs) | Disposition | 2017-10-18 | 17,500 | $0.00 | 17,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 44,346 | No | 4 | M | Direct |
Footnotes
- The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
- Represents the number of shares required to cover the Reporting Person's tax withholding obligations in connection with the vesting of the restricted stock units reported herein.
- Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $8.439 to $8.45 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 represented a contingent right to receive one share of Emcore common stock. Restricted stock units were payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
- RSUs that become vested and nonforfeitable are paid in shares of Common Stock as soon as practicable following the vesting date.
Billionaire Hedge Funds
