Filing Details
- Accession Number:
- 0001214659-17-007358
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-18 18:52:19
- Reporting Period:
- 2017-12-14
- Accepted Time:
- 2017-12-18 18:52:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1701001 | Albert Lu | 2015 W. Chestnut Street Alhambra CA 91803 | Sr. V.p. Of Engineering | 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 | 2017-12-14 | 2,118 | $0.00 | 8,963 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-12-15 | 806 | $0.00 | 8,157 | 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 | 2017-12-14 | 2,118 | $0.00 | 2,118 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,460 | No | 4 | M | Direct |
Footnotes
- 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 $6.36 to $6.45 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.
- 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.
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