0001214659-19-002587.txt : 20190405 0001214659-19-002587.hdr.sgml : 20190405 20190405172929 ACCESSION NUMBER: 0001214659-19-002587 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190404 FILED AS OF DATE: 20190405 DATE AS OF CHANGE: 20190405 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: 19736010 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-44612.xml PRIMARY DOCUMENT X0306 4 2019-04-04 0000808326 EMCORE CORP EMKR 0001701001 Lu Albert 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 false true false false Sr. V.P. of Engineering Performance-Based Restricted Stock Units (PSUs) 2019-04-04 4 A false 20000 0 A Emcore Common Stock 20000 42471 D Restricted Stock Units 2019-04-04 4 A false 10000 0 A Emcore Common Stock 10000 24735 D Each PSU represents a contingent right to receive one share of EMCORE common stock, based on the Issuer's total shareholder return (TSR) compared to pre-established relative TSR goals, based on the TSR of the Russell Microcap Index, that were set by the Compensation Committee of the Board of Directors. The aggregate number of shares issued may range from zero (0) to 200% of the target number of shares reported in column 7 of this report. Between zero (0) and 200% of the PSUs will vest, if at all, on April 4, 2022. The PSUs were awarded to the Reporting Person for no cash or other similar consideration. Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. Vests in four equal annual installments commencing on April 4, 2020. The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. Ryan Hochgesang, attorney in fact 2019-04-05