SEC Form 4 · accession 0001214659-17-006129

EMCORE CORP · EMKR

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

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Oct 18, 2017

Accepted (ET)

Oct 19, 2017 · 8:05 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^F1	Oct 18, 2017	M	17,500	—	A	288,505	D
Common Stock^F2,F3	Oct 19, 2017	S	9,189	$8.45	D	279,316	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units (RSUs)^F1,F4,F5	—	Oct 18, 2017	M	17,500	D	—	—	Emcore Common Stock	17,500	44,346	D

F1The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
F2Represents the number of shares required to cover the Reporting Person's tax withholding obligations in connection with the vesting of the restricted stock units reported herein.
F3Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $8.439 to $8.45 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.
F4Each 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.
F5RSUs that become vested and nonforfeitable are paid in shares of Common Stock as soon as practicable following the vesting date.