SEC Form 4 · accession 0000899243-15-004210
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R Becker
Director
Period of report
Aug 26, 2015
Accepted (ET)
Aug 28, 2015 · 4:48 pm 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,F2 | Aug 26, 2015 | S | 92,857 | $6.93 | D | 2,220,637 | I | See footnotes |
| Common StockF1,F2 | Aug 27, 2015 | S | 45,115 | $6.90 | D | 2,175,522 | I | See footnotes |
| Common StockF3 | holding | — | — | — | 7,576 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents Common Stock of the Issuer directly beneficially owned by Becker Drapkin Partners (QP), L.P. ("Becker Drapkin QP") (1,413,904 shares) and by Becker Drapkin Partners, L.P. ("Becker Drapkin, L.P.") (199,203 shares), and 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") (562,415 shares).
- F2Mr. Becker may be deemed to beneficially own such Common Stock as he is a co-managing member of BC Advisors, LLC, which is the general partner of BD Management (of which Mr. Drapkin is a limited partner), and BD Management is the general partner of, and investment manager for, each of Becker Drapkin QP and Becker Drapkin, L.P., and the investment manager of the Managed Account. Mr. Becker disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.
- F3These 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.