Statement of Changes in Beneficial Ownership (4)
2015年11月5日 - 6:46AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Becker Steven R
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2. Issuer Name
and
Ticker or Trading Symbol
EMCORE CORP
[
EMKR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
500 CRESCENT COURT, SUITE 230
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/2/2015
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(Street)
DALLAS, TX 75201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/2/2015
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J
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173453
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D
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$0.00
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25750
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I
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See footnotes
(1)
(5)
(6)
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Common Stock
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11/2/2015
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J
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25750
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D
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$0.00
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0
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I
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See footnotes
(1)
(5)
(6)
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Common Stock
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11/2/2015
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J
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774867
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D
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$0.00
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639037
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I
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See footnotes
(2)
(5)
(6)
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Common Stock
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11/2/2015
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J
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25250
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A
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$0.00
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664787
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I
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See footnotes
(2)
(5)
(6)
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Common Stock
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11/2/2015
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J
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173453
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A
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$0.00
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173453
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I
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See footnotes
(3)
(5)
(6)
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Common Stock
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11/2/2015
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J
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774867
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A
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$0.00
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948320
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I
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See footnotes
(3)
(5)
(6)
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Common Stock
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562415
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I
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See footnotes
(4)
(6)
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Common Stock
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7576
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D
(7)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Represents Common Stock of the Issuer directly held by Becker Drapkin Partners, L.P. ("Becker Drapkin, L.P.").
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(
2)
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Represents Common Stock of the Issuer directly held by Northern Right Capital (QP), L.P. (f/k/a Becker Drapkin Partners (QP), L.P.) ("NRC QP").
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(
3)
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Represents Common Stock of the Issuer directly held by Becker Drapkin Partners SLV, Ltd. ("BD SLV").
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(
4)
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Represents Common Stock of the Issuer directly held by a managed account on behalf of an investment advisory client (the "Managed Account") of Northern Right Capital Management, L.P. (f/k/a Becker Drapkin Management, L.P.) ("NRC Management").
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(
5)
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Pursuant to Rule 16a-13 of the Securities Exchange Act of 1934, on November 2, 2015, as part of an internal restructuring of the entities managed by NRC Management, (i) NRC QP transferred 774,867 shares of Common Stock to BD SLV, (ii) Becker Drapkin, L.P. transferred 173,453 shares of Common Stock to BD SLV and (iii) Becker Drapkin, L.P. transferred 25,750 shares of Common Stock to NRC QP, in each case in exchange for interests of the applicable transferee.
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(
6)
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Mr. Becker may be deemed to beneficially own such Common Stock as he is a member of BC Advisors, LLC, which is the general partner of NRC Management (of which Mr. Becker is a limited partner), and NRC Management is the general partner of, and investment manager for, NRC QP, and the investment manager of each of BD SLV and the Managed Account. Mr. Becker disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.
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(
7)
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These shares are directly held by Mr. Becker and were acquired pursuant to the EMCORE Corporation 2007 Directors' Stock Award Plan for Mr. Becker's service as a non-employee director.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Becker Steven R
500 CRESCENT COURT, SUITE 230
DALLAS, TX 75201
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X
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Signatures
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STEVEN R. BECKER, /s/ Steven R. Becker
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11/4/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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EMCORE (NASDAQ:EMKR)
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過去 株価チャート
から 8 2023 まで 8 2024