0001214659-20-002828.txt : 20200323 0001214659-20-002828.hdr.sgml : 20200323 20200323162745 ACCESSION NUMBER: 0001214659-20-002828 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200319 FILED AS OF DATE: 20200323 DATE AS OF CHANGE: 20200323 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grooms Bruce CENTRAL INDEX KEY: 0001779918 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 20735188 MAIL ADDRESS: STREET 1: C/O EMCORE CORPORATION STREET 2: 2015 CHESTNUT ST. 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-48198.xml PRIMARY DOCUMENT X0306 4 2020-03-19 0000808326 EMCORE CORP EMKR 0001779918 Grooms Bruce C/O EMCORE CORPORATION 2015 CHESTNUT ST. ALHAMBRA CA 91803 true false false false Common Stock 2020-03-19 4 M false 12968 A 12968 D Restricted Stock Units 2020-03-19 4 M false 12968 D Emcore Common Stock 12968 0 D Restricted Stock Units 2020-03-20 4 A false 36986 A Emcore Common Stock 36986 36986 D The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration for his service as a non-employee director. 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 both will be delivered to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock. The restricted stock unit were issued pursuant to the EMCORE Corporation 2019 Equity Incentive Plan in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest on the earlier of March 20, 2021 or the day prior to the Issuer's 2021 annual meeting of shareholders. Ryan Hochgesang, attorney in fact 2020-03-23