SEC Form 4 · accession 0000899243-15-008064
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R Becker
Director
Period of report
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 4:37 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 StockF4,F1,F5 | Nov 9, 2015 | S | 699 | $7.25 | D | 664,088 | I | See footnotes |
| Common StockF4,F2,F5 | Nov 9, 2015 | S | 999 | $7.25 | D | 947,321 | I | See footnotes |
| Common StockF4,F3,F5 | Nov 9, 2015 | S | 592 | $7.25 | D | 561,823 | 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 of the Issuer directly held by Northern Right Capital (QP), L.P. ("NRC QP").
- F2Represents Common Stock of the Issuer directly held by Becker Drapkin Partners SLV, Ltd. ("BD SLV").
- F3Represents 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. ("NRC Management").
- F4Sold pursuant to a 10b5-1 plan.
- F5Mr. 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.
- F6These 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.