-----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, QcjGKRiFg0G+EvJS5KMRIZVBaJUBV/Ztls1ZX9jq0q6uVAuFMOpb+ibunZMegIXY GA6OnE0j4zrBrCofWjS/3A== 0001144204-08-009478.txt : 20080214 0001144204-08-009478.hdr.sgml : 20080214 20080214161043 ACCESSION NUMBER: 0001144204-08-009478 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080214 GROUP MEMBERS: ALEXANDRA INVESTMENT MANAGMENT, LLC GROUP MEMBERS: MIKHAIL A. FILIMONOV SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50693 FILM NUMBER: 08615622 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALEXANDRA GLOBAL MASTER FUND LTD CENTRAL INDEX KEY: 0001266087 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ALEXANDRA INVESTMENT MANAGEMENT LLC STREET 2: 767 THIRD AVE 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2123011800 SC 13G/A 1 v102444_sc13ga.htm

SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 1 OF 8 PAGES

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*

EMCORE Corporation
(Name of Issuer)


Common Stock, no par value
(Title of Class of Securities)


290846104
(CUSIP Number)

January 30, 2008**
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o
Rule 13d-1(b)
x
Rule 13d-1(c)
o
Rule 13d-1(d)

*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 disclosures provided in a prior cover page.

The information required on 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).

**All information on this Schedule is as of January 30, 2008 except where noted.
 
 
SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 2 OF 8 PAGES
 
 
 
 
 
 
 
 
 
 
 
1
NAME OF REPORTING PERSON
 
 
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
 
 
 
 
 
 
 
 
 
Alexandra Global Master Fund Ltd.
 
 
 
 
98-0448776
 
 
 
 
 
 
 
 
 
 
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) 
o
 
 
 
(B)
o (See Item 6)
 
 
 
 
 
 
 
 
 
3
SEC USE ONLY
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
 
 
 
 
 
 
 
British Virgin Islands
 
 
 
 
 
 
 
 
NUMBER OF
5
SOLE VOTING POWER
SHARES
 
 
 
BENEFICIALLY
 
-0-
 
OWNED BY
 
 
 
EACH
 
 
 
REPORTING
6
SHARED VOTING POWER
PERSON
 
 
 
WITH:
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
7
SOLE DISPOSITIVE POWER
 
 
 
 
 
-0-
 
 
 
 
 
 
 
8
SHARED DISPOSITIVE POWER
 
 
 
 
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
 
 
 
 
 
 
 
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
 
 
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
 
 
 
CERTAIN SHARES (SEE INSTRUCTIONS)
 
o
 
 
 
 
 
 
 
 
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
 
 
 
 
 
 
 
 
Less than 1/100 of 1%  (See Item 4)
 
 
 
 
 
 
 
 
 
 
 
12
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
 
 
 
 
 
 
 
 
CO
 
 
 
 
 
 
 
 
 
SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 3 OF 8 PAGES
 
 
 
 
 
 
 
 
 
 
 
1
NAME OF REPORTING PERSON
 
 
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
 
 
 
 
 
 
 
 
 
Alexandra Investment Management, LLC
 
 
 
 
13-4092583
 
 
 
 
 
 
 
 
 
 
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) 
o
 
 
 
(B)
o (See Item 6)
 
 
 
 
 
 
 
 
 
3
SEC USE ONLY
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
 
 
 
 
 
 
 
Delaware
 
 
 
 
 
 
 
 
NUMBER OF
5
SOLE VOTING POWER
SHARES
 
 
 
BENEFICIALLY
 
-0-
 
OWNED BY
 
 
 
EACH
 
 
 
REPORTING
6
SHARED VOTING POWER
PERSON
 
 
 
WITH:
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
7
SOLE DISPOSITIVE POWER
 
 
 
 
 
-0-
 
 
 
 
 
 
 
8
SHARED DISPOSITIVE POWER
 
 
 
 
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
 
 
 
 
 
 
 
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
 
 
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
 
 
 
CERTAIN SHARES (SEE INSTRUCTIONS)
 
o
 
 
 
 
 
 
 
 
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
 
 
 
 
 
 
 
 
Less than 1/100 of 1%  (See Item 4)
 
 
 
 
 
 
 
 
 
 
 
12
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
 
 
 
 
 
 
 
 
OO
 
 
 
 
 
 
 
 
 
SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 4 OF 8 PAGES
 
 
 
 
 
 
 
 
 
 
 
1
NAME OF REPORTING PERSON
 
 
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
 
 
 
 
 
 
 
 
 
Mikhail A. Filimonov
 
 
 
 
 
 
 
 
 
 
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) 
o
 
 
 
(B)
o
 
 
 
 
 
 
 
 
 
3
SEC USE ONLY
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
 
 
 
 
 
 
 
U.S.
 
 
 
 
 
 
 
 
NUMBER OF
5
SOLE VOTING POWER
SHARES
 
 
 
BENEFICIALLY
 
-0-
 
OWNED BY
 
 
 
EACH
 
 
 
REPORTING
6
SHARED VOTING POWER
PERSON
 
 
 
WITH:
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
7
SOLE DISPOSITIVE POWER
 
 
 
 
 
-0-
 
 
 
 
 
 
 
8
SHARED DISPOSITIVE POWER
 
 
 
 
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
 
 
 
 
 
 
 
 
150,856 shares of Common Stock (See Item 4)
 
 
 
 
 
 
 
 
 
 
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
 
 
 
CERTAIN SHARES (SEE INSTRUCTIONS)
 
o
 
 
 
 
 
 
 
 
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
 
 
 
 
 
 
 
 
Less than 1/100 of 1%  (See Item 4)
 
 
 
 
 
 
 
 
 
 
 
12
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
 
 
 
 
 
 
 
 
IN
 
 
 
 
 
 
 
 
 
SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 5 OF 8 PAGES
 
Item 1(a).
Name of Issuer:
 
 
 
 
 
 
 
EMCORE Corporation, a New Jersey corporation (the “Issuer”) 
 
 
 
 
 
 
 
 
Item 1(b).
Address of Issuer’s Principal Executive Offices:
 
 
 
 
 
 
 
145 Belmont Drive
 
 
Somerset, New Jersey 08873
 
 
 
 
 
 
 
 
 
Item 2(a).
Names of Persons Filing:
 
 
 
 
 
 
 
Alexandra Global Master Fund Ltd. ("Alexandra")
 
 
Alexandra Investment Management, LLC ("Management")
 
 
Mikhail A. Filimonov ("Filimonov")
 
 
 
 
 
 
 
 
 
Item 2(b).
Address of Principal Business Office:
 
 
 
 
 
 
 
Alexandra - Citco Building, Wickams Cay, P.O. Box 662, Road Town, Tortola, British Virgin Islands
 
Management - 767 Third Avenue, 39th Floor, New York, New York 10017
 
Filimonov - 767 Third Avenue, 39th Floor, New York, New York 10017
 
 
 
 
 
 
 
 
Item 2(c).
Place of Organization or Citizenship:
 
 
 
 
 
 
 
Alexandra - British Virgin Islands
 
 
Management - Delaware
 
 
Filimonov - U.S.
 
 
 
 
 
 
 
 
 
Item 2(d).
Title of Class of Securities:
 
 
 
 
 
 
 
 
 
 
 
 
Common Stock, no par value per share, of the Issuer (the "Common Stock")
 
 
 
 
 
 
 
 
Item 2(e).
CUSIP Number: 290846104
 
 
 
 
 
 
 
 
Item 3.
This Schedule is filed pursuant to Rule 13d-1(c) by Alexandra, Management and Filimonov
 
 
 
 
 
 
 
 
 
Item 4.
Ownership:
 
 
 
 
 
 
 
 
 
(a)
Amount Beneficially Owned:
 
 
 
 
 
 
 
Alexandra:
 
 
150,856 shares*
 
 
Management:
 
 
150,856 shares*
 
 
Filimonov:
 
 
150,856 shares*
 
 
 
 
 
 
 
 
(b)
Percent of Class:
 
 
 
 
 
 
 
Alexandra:
 
 
Less than 1/100 of 1%*
 
 
Management:
 
 
Less than 1/100 of 1%*
 
 
Filimonov:
 
 
Less than 1/100 of 1%*
 
 
 
 
 
 
 
 
 
(Based on 52,253,883 shares of Common Stock outstanding, as of December 26, 2007, as reported by the Issuer in the Issuer’s Annual Report on Form 10-K for the fiscal year ended September 30, 2007)
 
 
SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 6 OF 8 PAGES
 
 
 
(c)
Number of Shares as to which the Person has:
 
 
 
 
 
 
 
 
(i)
sole power to vote or to direct the vote
 
 
 
 
 
 
 
 
 
-0-
 
 
 
 
 
 
 
 
(ii)
shared power to vote or to direct the vote:
 
 
 
 
 
 
 
 
 
150,856 shares of Common Stock*
 
 
 
 
 
 
 
 
(iii)
sole power to dispose or to direct the disposition of
 
 
 
 
 
 
 
 
 
-0-
 
 
 
 
 
 
 
 
(iv)
shared power to dispose or to direct the disposition of
 
 
 
 
 
 
 
 
 
150,856 shares of Common Stock*
 
 
 
 
 

*On December 31, 2007, Alexandra beneficially owned 3,108,196 shares of Common Stock that Alexandra had the right to acquire upon conversion of $21,788,460 principal amount of Convertible Senior Subordinated Notes due May 15, 2011 issued by the Issuer (the “Notes”) which on such date represented 6.2% of the shares of Common Stock then outstanding (based on 52,253,883 shares of Common Stock outstanding, as of December 26, 2007, as reported by the Issuer in the Issuer’s Annual Report on Form 10-K for the fiscal year ended September 30, 2007). The Notes were converted into shares of Common Stock and, as of January 30, 2008, Alexandra beneficially owns 150,856 shares of Common Stock.

Management serves as investment advisor to Alexandra. By reason of such relationship, Management may be deemed to share voting and dispositive power over the shares of Common Stock owned by Alexandra. Management disclaims beneficial ownership of the shares of Common Stock listed as beneficially owned by Alexandra or any other person reporting on this Schedule.

Filimonov serves as the Chairman, the Chief Executive Officer, a Managing Member and the Chief Investment Officer of Management. By reason of such relationships, Filimonov may be deemed to share voting and dispositive power over the shares of Common Stock listed as beneficially owned by Management. Filimonov disclaims beneficial ownership of the shares of Common Stock listed as beneficially owned by Management or any other person reporting on this Schedule.
 
Item 5.
Ownership of Five Percent or Less of a Class:
 
 
 
Not applicable
 
 
 
If this statement is being filed to report the fact that as of the date hereof each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the class of securities, check the following x
   
 
 
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
 
 
 
 
 
 
SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 7 OF 8 PAGES
 
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 each signatory certifies that, to the best of its knowledge and belief, the securities referred to above 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.
 
Exhibits:

Exhibit I: Joint Filing Agreement, dated as of February 14, 2007, by and among Alexandra, Management and Filimonov (incorporated herein by reference to the exhibit with the same number filed with the Schedule 13G Amendment No. 1 by the persons reporting on this Amendment No. 2).
 
 
SCHEDULE 13G
 
CUSIP NO. 290846104
PAGE 8 OF 8 PAGES
 
SIGNATURE

By signing below each signatory certifies that, to the best of its knowledge and belief, the securities referred to above 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.

Date: February 14, 2008

 
ALEXANDRA GLOBAL MASTER FUND LTD.
 
 
 
 
 
 
By:
ALEXANDRA INVESTMENT MANAGEMENT, LLC,
 
 
its Investment Advisor
 
 
 
 
 
 
 
By: /s/ Mikhail A. Filimonov
 
 
 
Mikhail A. Filimonov
 
 
 
Title: Managing Member
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ALEXANDRA INVESTMENT MANAGEMENT, LLC
 
 
 
 
 
By: /s/ Mikhail A. Filimonov
 
 
Mikhail A. Filimonov
 
 
Title: Managing Member
 
 
 
 
 
 
 
 
 
 
/s/ Mikhail A. Filimonov
 
 
Mikhail A. Filimonov
 
 
 
 
 

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