SEC Form 4 · accession 0001214659-18-002232
EMCORE CORP · EMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen L Domenik
Director
Period of report
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 5:04 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 | Mar 15, 2018 | M | 7,330 | — | A | 21,641 | 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,F2,F3 | — | Mar 15, 2018 | M | 7,330 | D | — | — | Emcore Common Stock | 7,330 | 0 | D |
| Restricted Stock UnitsF1,F4,F5 | — | Mar 16, 2018 | A | 9,075 | A | — | — | Emcore Common Stock | 9,075 | 9,075 | D |
Explanation of responses
- F1The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration for his service as a non-employee director.
- F2Each 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.
- F3Not 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 both will be delivered to the Reporting Person.
- F4Each restricted stock unit represents a contingent right to receive one share of EMCORE common stock.
- F5The restricted stock unit 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 the earlier of March 16, 2019 or the day prior to the Issuer's 2019 annual meeting of shareholders.