SEC Form 4 · accession 0001214659-17-002092
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald J Fine
Director
Period of report
Mar 17, 2017
Accepted (ET)
Mar 20, 2017 · 4:51 pm EDT
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 | holding | — | — | — | 37,994 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restriced Stock UnitsF1,F2 | — | Mar 17, 2017 | A | 13,100 | A | — | — | Emcore Common Stock | 13,100 | 13,100 | D |
Explanation of responses
- F1The restricted stock units were issued pursuant to the EMCORE Corporation 2012 Equity Incentive Plan in accordance with EMCORE's Director Compensation Policy. The restricted stock units vest on March 17, 2018.
- F2The restricted stock units were awarded to the Reporting Person for his service as a non-employee director and Chairman of the Board.