0001535264-23-000066.txt : 20230614
0001535264-23-000066.hdr.sgml : 20230614
20230614170511
ACCESSION NUMBER: 0001535264-23-000066
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230612
FILED AS OF DATE: 20230614
DATE AS OF CHANGE: 20230614
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: AWM Investment Company, Inc.
CENTRAL INDEX KEY: 0001535264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 231014914
BUSINESS ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-319-6670
MAIL ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
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
primary_doc.xml
PRIMARY DOCUMENT
X0407
4
2023-06-12
0
0000808326
EMCORE CORP
EMKR
0001535264
AWM Investment Company, Inc.
527 MADISON AVENUE
SUITE 2600
NEW YORK
NY
10022
0
0
1
0
0
Common Stock
2023-06-12
4
S
0
50000
0.7298
D
6032401
I
By Limited Partnerships
Common Stock
2023-06-13
4
S
0
60000
0.7238
D
5972401
I
By Limited Partnerships
Common Stock
2023-06-14
4
S
0
41438
0.7073
D
5930963
I
By Limited Partnerships
This is a weighted average price.
AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, L.P. (SSPE), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (T2 and together with SSFQP, Cay, SSPE and Tech the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 2,723,182 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 721,312 Shares held by Cay, 578,111 Shares held by SSPE, 295,304 Shares held by Tech and 1,613,054 Shares held by T2.
David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Adam Stettner
2023-06-14