SEC Form 4 · accession 0001214659-16-008702
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Bogomolny
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 4:45 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,F3 | Jan 4, 2016 | A | 1,666 | — | A | 1,666 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Share CreditsF6,F4,F5 | $0.00 | Jan 4, 2016 | A | 6,667 | A | — | — | Common Stock | 6,667 | 22,163 | D |
Explanation of responses
- F1These shares of common stock were acquired by the Reporting Person under the EMCORE Corporation 2012 Equity Incentive Plan.
- F2These shares of common stock were awarded to the Reporting Person for his service as Co-Chairman of the Board.
- F3Reflects a correction in the number of securities reported as held directly by the Reporting Person in prior reports due to an inadvertent error that appeared in the prior reports.
- F4Each phantom share credit in the Reporting Person's account entitles the Reporting Person to one share of common stock. The Reporting Person's account shall be paid out (i) in shares of common stock within 30 days of the Reporting Person ceasing to serve as a director of the Issuer or (ii) immediately prior to a change of control of the Issuer, in shares of common stock or, at the discretion of the board of directors of the Issuer, in cash.
- F5Phantom share credits shall not expire.
- F6These phantom share credits were credited to the Reporting Person's account because the Reporting Person elected to defer receipt of shares of common stock that the Reporting Person was entitled to receive for service as a non-employee director pursuant to the EMCORE Corporation 2007 Directors' Stock Award Plan.