0001214659-18-004549.txt : 20180621 0001214659-18-004549.hdr.sgml : 20180621 20180621180142 ACCESSION NUMBER: 0001214659-18-004549 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180620 FILED AS OF DATE: 20180621 DATE AS OF CHANGE: 20180621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Jikun CENTRAL INDEX KEY: 0001488531 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 18912725 MAIL ADDRESS: STREET 1: 181 W. HUNTINGTON DRIVE STREET 2: SUITE 202 CITY: MONROVIA STATE: CA ZIP: 91016 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-42235.xml PRIMARY DOCUMENT X0306 4 2018-06-20 0000808326 EMCORE CORP EMKR 0001488531 Kim Jikun C/O 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 false true false false Chief Financial Officer Common Stock 2018-06-20 4 M false 39036 A 110075 D Common Stock 2018-06-20 4 F false 19255 5.50 D 90820 D Restricted Stock Units (RSUs) 2018-06-20 4 M false 39036 D Emcore Common Stock 39036 117108 D This amount originally represented 30,000 restricted stock units. The number of restricted stock units was subsequently adjusted, pursuant to the terms of the Issuer's 2012 Equity Incentive Plan, to reflect the effect of an equitable and proportional adjustment made in connection with a special cash dividend paid by the Issuer on July 29, 2016. 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. /s/ Ryan Hochgesang, attorney in fact 2018-06-21