0001214659-21-003979.txt : 20210406 0001214659-21-003979.hdr.sgml : 20210406 20210406162702 ACCESSION NUMBER: 0001214659-21-003979 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210404 FILED AS OF DATE: 20210406 DATE AS OF CHANGE: 20210406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RITTICHIER JEFFREY CENTRAL INDEX KEY: 0001628825 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36632 FILM NUMBER: 21809440 MAIL ADDRESS: STREET 1: 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-52201.xml PRIMARY DOCUMENT X0306 4 2021-04-04 0000808326 EMCORE CORP EMKR 0001628825 RITTICHIER JEFFREY 2015 W. CHESTNUT STREET ALHAMBRA CA 91803 true true false false Chief Executive Officer Common Stock 2021-04-04 4 M false 25000 A 418448 D Common Stock 2021-04-04 4 F false 13654 4.63 D 404794 D Restricted Stock Units (RSUs) 2021-04-04 4 M false 25000 D Emcore Common Stock 25000 50000 D The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. The total number of securities beneficially owned by the reporting person has been updated to reflect only those number of restricted stock units that were previously reported in Table I, together with all other shares of the Issuer's common stock beneficially owned by the reporting person. All unvested restricted stock units previously reported in Table II are not included in the total number of securities beneficially owned by the reporting person, and will only be included at the time such restricted stock units vest in the future. 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. On April 4, 2019, the reporting person was granted 100,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date /s/ Ryan Hochgesang, attorney in fact 2021-04-06