4//SEC Filing
Larocca Christopher M 4
Accession 0001214659-12-005447
CIK 0000808326other
Filed
Dec 9, 7:00 PM ET
Accepted
Dec 10, 4:44 PM ET
Size
11.3 KB
Accession
0001214659-12-005447
Insider Transaction Report
Form 4
EMCORE CORPEMKR
Larocca Christopher M
Chief Operating Officer
Transactions
- Exercise/Conversion
Common Stock
2012-12-06+3,000→ 19,465 total - Sale
Common Stock
2012-12-07$3.97/sh−1,333$5,292→ 18,132 total - Exercise/Conversion
Restricted Stock Units
2012-12-06−3,000→ 6,000 total→ Common Stock (3,000 underlying)
Holdings
- 7,095(indirect: By 401(k))
Common Stock
Footnotes (9)
- [F1]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. On December 6, 2012, the Issuer settled the restricted stock units in common stock.
- [F2]Includes 11,667 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 $3.91 to $4.27 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 September 30, 2012.
- [F6]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.
- [F7]3,000 restricted stock units vested on December 6, 2012.
- [F8]Remaining unvested restricted stock units vest in two equal annual installments commencing on December 6, 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.
- [F9]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 0001465498
Filing Metadata
- Form type
- 4
- Filed
- Dec 9, 7:00 PM ET
- Accepted
- Dec 10, 4:44 PM ET
- Size
- 11.3 KB