SEC Form 4 · accession 0000899243-15-003016
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 10, 2015
Accepted (ET)
Aug 13, 2015 · 11:21 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000808326
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F4,F5,F7 | Aug 10, 2015 | S | 172,512 | $7.40 | D | 1,579,939 | I | See footnotes |
| Common StockF2,F4,F5,F7 | Aug 10, 2015 | S | 24,302 | $7.40 | D | 222,596 | I | See footnotes |
| Common StockF3,F4,F5,F7 | Aug 10, 2015 | S | 68,620 | $7.40 | D | 628,459 | I | See footnotes |
| Common StockF1,F4,F5,F7 | Aug 11, 2015 | S | 13,973 | $7.33 | D | 1,565,966 | I | See footnotes |
| Common StockF2,F4,F5,F7 | Aug 11, 2015 | S | 1,969 | $7.33 | D | 220,627 | I | See footnotes |
| Common StockF3,F4,F5,F7 | Aug 11, 2015 | S | 5,558 | $7.33 | D | 622,901 | I | See footnotes |
| Common StockF1,F4,F5,F7 | Aug 12, 2015 | S | 62,392 | $7.32 | D | 1,503,574 | I | See footnotes |
| Common StockF2,F4,F5,F7 | Aug 12, 2015 | S | 8,790 | $7.32 | D | 211,837 | I | See footnotes |
| Common StockF3,F4,F5,F7 | Aug 12, 2015 | S | 24,818 | $7.32 | D | 598,083 | I | See footnotes |
| Common StockF6 | holding | — | — | — | 7,576 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents Common Stock directly beneficially owned by Becker Drapkin Partners (QP), L.P. ("Becker Drapkin QP") (1,503,574 shares).
- F2Represents Common Stock directly beneficially owned by Becker Drapkin Partners, L.P. ("Becker Drapkin, L.P.") (211,837 shares).
- F3Represents Common Stock directly beneficially owned by a managed account on behalf of an investment advisory client (the "Managed Account") of Becker Drapkin Management, L.P. ("BD Management") (598,083 shares).
- F4BD Management, as the general partner of, and investment manager for, Becker Drapkin QP and Becker Drapkin, L.P. and the investment manager for the Managed Account, may be deemed to beneficially own the securities described in footnotes (1), (2) and (3). BC Advisors, LLC ("BCA"), as the general partner of BD Management, and Mr. Becker and Mr. Drapkin, as the sole members and co-managing members of BCA and limited partners of BD Management, may in each case be deemed to be beneficial owners of the securities described in footnotes (1), (2) and (3).
- F5BD Management disclaims any beneficial ownership of all of the Common Stock listed herein, except to the extent of any pecuniary interest therein. Becker Drapkin QP disclaims beneficial ownership of the Common Stock described in footnotes (2) and (3). Becker Drapkin, L.P. disclaims beneficial ownership of the Common Stock described in footnotes (1) and (3). BCA disclaims beneficial ownership of all of the Common Stock listed herein, except to the extent of any pecuniary interest therein. Mr. Becker (who is a director of the Issuer) and Mr. Drapkin disclaim beneficial ownership of all of the Common Stock described herein, except to the extent of any pecuniary interest therein.
- F6These shares are directly beneficially owned by Mr. Becker and were acquired pursuant to the EMCORE Corporation 2007 Directors' Stock Award Plan for Mr. Becker's service as a non-employee director.
- F7This filing constitutes a Form 4 exit filing for all reporting persons other than Mr. Becker. The Form 4 filed on June 23, 2015 incorrectly stated that it was an exit filing.
Remarks
Member of a 13D group that is no longer a 10% group