SEC Form 4 · accession 0001209191-15-006863
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R Becker
Director
Period of report
Jan 26, 2015
Accepted (ET)
Jan 27, 2015 · 6:50 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,F2 | Jan 26, 2015 | A | 7,576 | $0.00 | A | 7,576 | D | |
| Common StockF3,F4 | holding | — | — | — | 3,197,105 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were acquired pursuant to the EMCORE Corporation 2007 Directors' Stock Award Plan.
- F2The shares of common stock were awarded to the Reporting Person for his service as a non-employee director.
- F3Represents Common Stock directly beneficially owned by Becker Drapkin Partners (QP), L.P. ("Becker Drapkin QP") (2,077,849 shares), Becker Drapkin Partners, L.P. ("Becker Drapkin, L.P.") (292,742 shares) and Common Stock directly held by a managed account on behalf of an investment advisory client (the "Managed Account") of Becker Drapkin Management, L.P. ("BD Management") (826,514 shares). (continued in Footnote 3).
- F4Mr. Drapkin 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. Drapkin disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.