SEC Form 4 · accession 0000899243-15-008843

EMCORE CORP · EMKR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Nov 20, 2015

Accepted (ET)

Nov 24, 2015 · 6:30 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 Stock^F4,F1,F5	Nov 20, 2015	S	28,319	$7.331	D	635,769	I	See footnotes
Common Stock^F4,F1,F5	Nov 23, 2015	S	50,889	$7.3317	D	584,880	I	See footnotes
Common Stock^F4,F1,F5	Nov 24, 2015	S	32,083	$7.3023	D	552,797	I	See footnotes
Common Stock^F4,F2,F5	Nov 20, 2015	S	40,443	$7.331	D	906,878	I	See footnotes
Common Stock^F4,F2,F5	Nov 23, 2015	S	72,675	$7.3317	D	834,203	I	See footnotes
Common Stock^F4,F2,F5	Nov 24, 2015	S	45,819	$7.3023	D	788,384	I	See footnotes
Common Stock^F4,F3,F5	Nov 20, 2015	S	23,974	$7.331	D	537,849	I	See footnotes
Common Stock^F4,F3,F5	Nov 23, 2015	S	43,081	$7.3317	D	494,768	I	See footnotes
Common Stock^F4,F3,F5	Nov 24, 2015	S	27,161	$7.3023	D	467,607	I	See footnotes
Common Stock^F6	holding	—	—		—	7,576	D

No Table II lines on this filing.

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.