4//SEC Filing
Wang Xinqiao 4
Accession 0001214659-12-003801
CIK 0000808326other
Filed
Aug 23, 8:00 PM ET
Accepted
Aug 24, 2:57 PM ET
Size
11.7 KB
Accession
0001214659-12-003801
Insider Transaction Report
Form 4
EMCORE CORPEMKR
Wang Xinqiao
Exec. VP, China Operations
Transactions
- Exercise/Conversion
Restricted Stock Units
2012-08-22−3,750→ 7,500 total→ Common Stock (3,750 underlying) - Exercise/Conversion
Restricted Stock Units
2012-08-22+3,750→ 21,991 total - Sale
Common Stock
2012-08-23$4.97/sh−1,218$6,056→ 20,773 total
Holdings
- 651(indirect: By Spouse)
Common Stock
- 3,906(indirect: By 401(k))
Common Stock
Footnotes (8)
- [F1]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.
- [F2]Includes 10,000 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting in two equal annual installments beginning on January 28, 2013.
- [F3]All sales were effected pursuant to a 10b5-1 plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the vesting of shares of restricted stock that were granted under the Company's 2010 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d).
- [F4]Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $4.97 to $5.04 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.
- [F5]Shares attributable to EMCORE Corporation 401(k) account as of June 30, 2012.
- [F6]3,750 restricted stock units vesting on August 22, 2012
- [F7]Remaining unvested restricted stock units vest in two equal annual installments commencing on August 22, 2013. 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.
- [F8]The restricted stock units were awarded to the reporting person for no cash or other similar consideration.
Documents
Issuer
EMCORE CORP
CIK 0000808326
Entity typeother
Related Parties
1- filerCIK 0001511517
Filing Metadata
- Form type
- 4
- Filed
- Aug 23, 8:00 PM ET
- Accepted
- Aug 24, 2:57 PM ET
- Size
- 11.7 KB