4//SEC Filing
EMCORE CORP 4
Accession 0001214659-13-004907
CIK 0000808326operating
Filed
Aug 25, 8:00 PM ET
Accepted
Aug 26, 7:33 PM ET
Size
13.0 KB
Accession
0001214659-13-004907
Insider Transaction Report
Form 4
EMCORE CORPEMKR
Larocca Christopher M
Chief Operating Officer
Transactions
- Sale
Common Stock
2013-08-23$3.84/sh−1,608$6,174→ 18,051 total - Exercise/Conversion
Common Stock
2013-08-22+4,167→ 19,659 total - Award
Common Stock
2013-08-23$3.35/sh+3,881$12,997→ 21,932 total - Exercise/Conversion
Restricted Stock Units
2013-08-22−4,167→ 4,166 total→ Common Stock (4,167 underlying)
Holdings
- 8,012(indirect: By 401(k))
Common Stock
Footnotes (10)
- [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 August 22, 2013, the Issuer settled the restricted stock units in common stock.
- [F10]The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
- [F2]Includes 5,834 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting on January 28, 2014.
- [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 $3.83 to $3.84 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 acquired through the EMCORE Corporation 2000 Employee Stock Purchase Plan in a transaction exempt from Section 16(b) pursuant to Rule 16b-3(d).
- [F6]Shares attributable to EMCORE Corporation 401(k) account as of June 30, 2013.
- [F7]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.
- [F8]4,167 restricted stock units vested on August 22, 2013.
- [F9]Remaining unvested restricted stock units vest on August 22, 2014. 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.
Documents
Issuer
EMCORE CORP
CIK 0000808326
Entity typeoperating
IncorporatedNJ
Related Parties
1- filerCIK 0000808326
Filing Metadata
- Form type
- 4
- Filed
- Aug 25, 8:00 PM ET
- Accepted
- Aug 26, 7:33 PM ET
- Size
- 13.0 KB