SEC Form 4 · accession 0000899243-15-007587
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R Becker
Director
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 4:44 pm EST
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,F5,F6 | Nov 2, 2015 | J | 173,453 | $0.00 | D | 25,750 | I | See footnotes |
| Common StockF1,F5,F6 | Nov 2, 2015 | J | 25,750 | $0.00 | D | 0 | I | See footnotes |
| Common StockF2,F5,F6 | Nov 2, 2015 | J | 774,867 | $0.00 | D | 639,037 | I | See footnotes |
| Common StockF2,F5,F6 | Nov 2, 2015 | J | 25,250 | $0.00 | A | 664,787 | I | See footnotes |
| Common StockF3,F5,F6 | Nov 2, 2015 | J | 173,453 | $0.00 | A | 173,453 | I | See footnotes |
| Common StockF3,F5,F6 | Nov 2, 2015 | J | 774,867 | $0.00 | A | 948,320 | I | See footnotes |
| Common StockF4,F6 | holding | — | — | — | 562,415 | I | See footnotes | |
| Common StockF7 | 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 held by Becker Drapkin Partners, L.P. ("Becker Drapkin, L.P.").
- F2Represents Common Stock of the Issuer directly held by Northern Right Capital (QP), L.P. (f/k/a Becker Drapkin Partners (QP), L.P.) ("NRC QP").
- F3Represents Common Stock of the Issuer directly held by Becker Drapkin Partners SLV, Ltd. ("BD SLV").
- F4Represents Common Stock of the Issuer directly held by a managed account on behalf of an investment advisory client (the "Managed Account") of Northern Right Capital Management, L.P. (f/k/a Becker Drapkin Management, L.P.) ("NRC Management").
- F5Pursuant to Rule 16a-13 of the Securities Exchange Act of 1934, on November 2, 2015, as part of an internal restructuring of the entities managed by NRC Management, (i) NRC QP transferred 774,867 shares of Common Stock to BD SLV, (ii) Becker Drapkin, L.P. transferred 173,453 shares of Common Stock to BD SLV and (iii) Becker Drapkin, L.P. transferred 25,750 shares of Common Stock to NRC QP, in each case in exchange for interests of the applicable transferee.
- F6Mr. Becker may be deemed to beneficially own such Common Stock as he is a member of BC Advisors, LLC, which is the general partner of NRC Management (of which Mr. Becker is a limited partner), and NRC Management is the general partner of, and investment manager for, NRC QP, and the investment manager of each of BD SLV and the Managed Account. Mr. Becker disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.
- F7These shares are directly held 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.