SEC Form 4 · accession 0001214659-17-004331
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Gregory Wojciechowski
Officer — Vice President, Sales
Period of report
Jun 29, 2017
Accepted (ET)
Jul 5, 2017 · 5:54 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 StockF1 | Jun 29, 2017 | A | 3,470 | — | A | 3,470 | D | |
| Common StockF2 | Jun 30, 2017 | S | 1,299 | $10.80 | D | 2,171 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3,F4 | — | Jun 29, 2017 | M | 3,470 | D | — | — | Emcore Common Stock | 3,470 | 14,144 | D |
Explanation of responses
- F1The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
- F2Reflects the reporting of a single open market transaction.
- F3Each restricted stock unit represented a contingent right to receive one share of Emcore common stock. Restricted stock units were payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
- F4Not 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.