SEC Form 4 · accession 0001214659-15-001649
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Reuben F Richards Jr.
Director
Period of report
Feb 20, 2015
Accepted (ET)
Feb 24, 2015 · 5:52 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 | Feb 20, 2015 | S | 25,000 | $5.45 | D | 115,674 | D | |
| Common StockF2 | Feb 23, 2015 | S | 25,000 | $5.5005 | D | 90,674 | D | |
| Common StockF3 | Feb 24, 2015 | S | 25,000 | $5.5502 | D | 65,674 | D | |
| Common StockF1 | Feb 20, 2015 | S | 43,751 | $5.4566 | D | 0 | I | By Spouse |
| Common Stock | holding | — | — | — | 2,500 | I | By Spouse In Pension Fund | |
| Common Stock | holding | — | — | — | 2,500 | I | By Trust For Benefit Of Daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $5.45 to $5.50 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.
- F2Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $5.50 to $5.54 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.
- F3Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $5.55 to $5.56 per share. The Reporting Person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.