-----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, TzTlVjZj0lAEj0BO0ZvG45R46HX2026IOtVgjvnhsYg6q03sXtcxwJ2JllsprAB7 UUoanr4GfCxT/3MH79cXow== 0001102598-04-000098.txt : 20040305 0001102598-04-000098.hdr.sgml : 20040305 20040305164320 ACCESSION NUMBER: 0001102598-04-000098 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040305 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PIONEER GLOBAL ASSET MANAGEMENT SPA CENTRAL INDEX KEY: 0001162663 IRS NUMBER: 000000000 STATE OF INCORPORATION: L6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 60 STATE STREET STREET 2: 19TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6174224975 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-50693 FILM NUMBER: 04652584 BUSINESS ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 MAIL ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 SC 13D 1 emcore.txt INITIAL FILING FOR 02/25/2004 EVENT DATE SECURITIES EXCHANGE COMMISSION Washington, DC 20549 Under the Securities Exchange Act of 1934 (Amendment No. 0) EMCORE CORPORATION (Name of Issuer) Common (Title of Class of Securities) 290846104 (CUSIP NUMBER) Rebecca Cinci Pioneer Investment Management, Inc. 60 State Street Boston, MA 02109 617-422-4975 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 25, 2004 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [x] 1. Name of Reporting Pioneer Global Asset Person Management S.p.A. IRS Identification 98-0362802 No. of Above 2. Check the Appropriate Box (a) of A Member of Group (See Instructions) (b) 3. SEC Use Only 4. Source of Funds (See instructions) 00 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) 6. Citizenship of Place of Organization Milan, Italy Number of 7. Sole Voting 10,444,837 Shares Power Beneficially Owned 8. Shared Voting 0 by Each Reporting Power Person With 9. Sole Dispositive 10,444,837 Power 10. Shared Disposi- 0 Dispositive Power 11. Aggregate Amount Beneficially Owned by Each Reporting Person 10,444,837 12. Check if the aggregate Amount in Row (11) Exclude Certain Shares (See Instructions) [ ] 13. Percent of Class Represented By Amount in Row 11. 23.34% 14. Type of Reporting Person (See Instructions) HC Item 1. Security and Issuer - - ---------------------------- The class of equity securities to which this Statement relates is the common stock, $0.01 par value per share (the "Common Stock"), of Emcore Corporation (the "Issuer"), the executive office of which is located at 145 Belmont Drive Somerset, NJ 08873. Item 2. Identity and Background - - -------------------------------- (a) Name: Pioneer Global Asset Management S.p.A. (b) Residence or Business Address: Galleria San Carlo 6, 20122 Milan, Italy (c) Present Principal Occupation or Employment: Financial Services, Galleria San Carlo 6, 20122 Milan, Italy (d) None. (e) None. (f) Citizenship: Italy Item 3. Source and Amount of Funds or Other Consideration - - ---------------------------------------------------------- The purchase of the Common Stock was made with the personal funds of Mr. Windisch. Mr. Windisch received 26,304 shares which may be acquired pursuant to the exercise of options which were granted pursuant to compensation plans of the Issuer. Item 4. Purpose of Transaction - - ------------------------------- The Funds acquired the Common Stock of Emcore Corporation reported herein for the purposes of investment. The Funds may, in the future, purchase additional shares of Common Stock of Emcore Corporation or sell such securities. The Funds do not have any present plan or proposal which would relate to or result in transactions of the kind described in paragraphs (a) through (j) of Item 4 of Schedule 13d-101 of the Securities and Exchange Commission. The Funds reserve the right, in the future, to adopt such plans or proposals. (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's articles of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any persons; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of those enumerated above. Item 5. Interest in Securities of the Issuer - - --------------------------------------------- (a) The reporting person beneficially owns 10,444,837 shares of the Issuer as of the date of this statement, representing 23.34% of the issued and outstanding shares. This includes 4,538,881 shares of the Common Stock and $47,602,000 5% 05/15/2011 convertible bonds, which represent 5,905,956 shares of common stock upon conversion. (b) Pioneer Global Asset Management S.p.A exercises sole voting and dispositive power over 10,444,837 shares. (c) On 02/25/2004 there was a corporate action exchange of $86,550,000 Emcore Corporation 5% 05/15/2006 (old) bonds for $47,602,000 5% 05/15/2011 (new) bonds, and 4,538,881 shares of common stock. (d) No other person has any interest in the securities reported on pursuant to his Schedule 13D. (e) Not applicable. Item 6. Contracts, Arrangements, Understanding, or Relationships With Respect to Securities of the Issuer - - ------------------------------------------------------------------------------ There are no contracts, arrangements, understandings, or relationships between the undersigned and any other person with respect to the issuer's securities, including but not limited to the transfer or voting of securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, the giving or withholding of proxies, or otherwise. Item 7. Material to be Filed as Exhibits - - ----------------------------------------- Not applicable. SIGNATURE - - ------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete, and correct. March 5, 2004 /s/Dario Frigerio ----------------------- Dario Frigerio Chief Executive Officer -----END PRIVACY-ENHANCED MESSAGE-----