0001105806-20-000005.txt : 20200214 0001105806-20-000005.hdr.sgml : 20200214 20200214072245 ACCESSION NUMBER: 0001105806-20-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 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: 20613868 BUSINESS ADDRESS: STREET 1: 2015 W. CHESTNUT STREET CITY: ALHAMBRA STATE: CA ZIP: 91803 BUSINESS PHONE: 626-293-3400 MAIL ADDRESS: STREET 1: 2015 W. CHESTNUT STREET CITY: ALHAMBRA STATE: CA ZIP: 91803 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LYTTON LAURENCE W CENTRAL INDEX KEY: 0001105806 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 467 CPW CITY: NY STATE: NY ZIP: 10025 SC 13G/A 1 emkr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Schedule 13G (Amendment 2) Under the Securities Exchange Act of 1934 Emcore Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 290846203 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [_] 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 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). CUSIP No. 290846203 1. Names of Reporting Persons Laurence W. Lytton 2. Check the Appropriate Box if a Member of a Group (See Not Applicable 3. SEC Use Only 4. Citizenship or Place of Organization USA Number of Shares Beneficially Owned By Each Reporting Person With 5. Sole Voting Power 2,703,736 6. Shared Voting Power 55,142 7. Sole Dispositive Power 2,703,736 8. Shared Dispositive Power 55,142 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,758,878 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] Not Applicable 11. Percent of Class Represented by Amount in Row (9) 9.5% (1) (1) based on 29,078,804.00 shares outstanding as of February 3, 2020, as reported in the 10-Q for the period ending December 31, 2019. 12. Type of Reporting Person (See Instructions) IN Item 1. (a) Name of Issuer Emcore (b) Address of Issuer's Principal Executive Offices 2015 W. Chestnut Street, Alhambra, California, 91803 Item 2. (a) Name of Person Filing Laurence W. Lytton (b) Address of Principal Business Office, or if none, Residence 467 CPW NY, NY 10025 (c) Citizenship USA (d) Title of Class of Securities Common Stock (e) CUSIP Number 290846203 Item 3. not applicable Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 2,758,878 shares consisting of 2,390,007 held by the reporting person, 181,756 held by the AWL Family LLC, 73,673 held by the Lytton-Kambara Foundation, 43,000 shares held by the WWL Trust, 15,300 held by the KLL Trust 15,583 held by the IKL Trust, and 39,559 held by other related accounts. (b) Percent of class: 9.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 2,703,736 (ii) Shared power to vote or to direct the vote 55,142 (iii) Sole power to dispose or to direct the disposition of 2,703,736 (iv) Shared power to dispose or to direct the disposition of 55,142 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities check the following [_]. 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. Certifications. 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. 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. ________2/14/20____________________________ Date ____s/ Laurence W. Lytton____________________________ Signature _____Laurence W. Lytton___________________________ Name/Title