0001214659-18-002052.txt : 20180312 0001214659-18-002052.hdr.sgml : 20180312 20180312173033 ACCESSION NUMBER: 0001214659-18-002052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180309 FILED AS OF DATE: 20180312 DATE AS OF CHANGE: 20180312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lu Albert CENTRAL INDEX KEY: 0001701001 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 18684540 MAIL ADDRESS: STREET 1: 2015 CHESTNUT STREET CITY: ALHAMBRA STATE: CA ZIP: 91803 ISSUER: 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 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 4 1 marketforms-41305.xml PRIMARY DOCUMENT X0306 4 2018-03-09 0000808326 EMCORE CORP EMKR 0001701001 Lu Albert 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 false true false false Sr. V.P. of Engineering Common Stock 2018-03-09 4 M false 3469 A 13293 D Common Stock 2018-03-09 4 F false 1418 5.50 D 11875 D Restricted Stock Units (RSUs) 2018-03-09 4 M false 3469 D Emcore Common Stock 3469 23172 D The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. Represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligations in connection with the vesting of the restricted stock units reported herein. 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. 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 the two will be delivered to the Reporting Person. Ryan Hochgesang, attorney in fact 2018-03-12