-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VwmjhVccASmqOjlXSFr+uxfG+iEfuFbl5yezWOxLnHuA8dnm44GxskZZx34QbhJZ 2lGtuEO1x59jEnT7R9uLOw== 0000890096-98-000023.txt : 19981210 0000890096-98-000023.hdr.sgml : 19981210 ACCESSION NUMBER: 0000890096-98-000023 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670] IRS NUMBER: 222746503 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-50693 FILM NUMBER: 98766009 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 908271-909 MAIL ADDRESS: STREET 1: 394 ELIZABETH AVE CITY: SOMERSET STATE: NJ ZIP: 08873 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UNIROYAL TECHNOLOGY CORP CENTRAL INDEX KEY: 0000890096 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PLASTIC PRODUCTS [3080] IRS NUMBER: 650341868 STATE OF INCORPORATION: DE FISCAL YEAR END: 0927 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE SARASOTA TOWER STE 900 STREET 2: TWO NORTH TAMIAMI TRAIL CITY: SARASOTA STATE: FL ZIP: 34236-5568 BUSINESS PHONE: 8133665282 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------- SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2(1) (1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). EMCORE CORPORATION (Name of Issuer) Common Stock, no par value (Title of class of securities) 290846104 (CUSIP Number) Check the following box if a fee is being paid with this statement.( ) (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (see Rule 13d-7.) (CONTINUED ON FOLLOWING PAGE(S)) 1. NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Uniroyal Technology Corporation EIN. 65-0341868 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) _____________ G (b) ______________ G 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware Number of 5. SOLE VOTING POWER Shares 642,857 * Beneficially Owned by Each Reporting Person With: 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 642,857* 8. Shared Dispositive Power 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 642,857* 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4% * 12. TYPE OF REPORTING PERSON CO * Convertible into common stock of the issuer at $14 per share. ITEM 1(A). NAME OF ISSUER: EMCORE Corporation ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 394 Elizabeth Avenue Somerset, New Jersey 08873 ITEM 2(A). NAME OF PERSON FILING: This statement is filed on behalf of: Uniroyal Technology Corporation ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The principal business address of the Reporting Person is: Two North Tamiami Trail Suite 900 Sarasota, Florida 34236 ITEM 2(C). CITIZENSHIP: Delaware ITEM 2(D). TITLE OF CLASS OF SECURITIES: Series I Redeemable Convertible Preferred Stock $.0001 par value * * Convertible into common stock of the issuer at $14 per share. ITEM 2(E). CUSIP NUMBER: 290846104 (underlying common stock) ITEM 3. Not applicable. ITEM 4. OWNERSHIP. (a) Amount beneficially owned: 642,857* (b) Percent of class: 6.4% * (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 642,857.* (ii) Shared power to vote or to direct the vote 0 . (iii) Sole power to dispose or to direct the disposition of 642,857.* (iv) Shared power to dispose or to direct the disposition of 0 . ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. * Convertible into common stock of the issuer at $14 per share. SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct. December 9, 1998 UNIROYAL TECHNOLOGY CORPORATION Name: George J. Zulanas, Jr. Title: Vice President, Treasurer and Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----