SEC Form 4/A · accession 0001214659-16-008772

EMCORE CORP · EMKR

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

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Officer — Chief Financial Officer

Period of report

Jan 5, 2015

Accepted (ET)

Jan 8, 2016 · 6:03 am 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^F1,F2	Jan 5, 2015	A	12,500	—	A	103,911	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F5,F3,F4,F1	—	Jan 5, 2015	A	37,500	A	—	—	Emcore Common Stock	37,500	37,500	D

F1This Form 4 is being amended to correct the number of shares that were granted as part of a restricted stock unit grant under the Company's 2012 Equity Incentive Plan. The Reporting Person received a 50,000 restricted stock unit grant, 12,500 of which vested immediately. The grant was made in a transaction exempt from Section 16b pursuant to Rule 16b-3(d).
F2The shares of common stock were awarded to the Reporting Person for no cash or other similar consideration.
F3Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
F4Vests in three equal annual installments commencing on January 1, 2016. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of the two will be delivered to the Reporting Person.
F5The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.