Statement of Changes in Beneficial Ownership (4)
2020年10月21日 - 5:17AM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
RITTICHIER JEFFREY |
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 __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
2015 W. CHESTNUT STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/17/2020 |
(Street)
ALHAMBRA, CA 91803
(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 | 10/18/2020 | | M | | 9346 | A | (1) | 267013 | D | |
Common Stock | 10/19/2020 | | F | | 4827 (2) | D | $3.35 | 262186 | D | |
Common Stock | 10/19/2020 | | F | | 4211 (3) | D | $3.35 | 257975 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (RSUs) | (4) | 10/18/2020 | | M | | | 9346 | (5) | (5) | Emcore Common Stock | 9346 | (1) | 95000 | D | |
Explanation of Responses: |
(1) | The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration. |
(2) | Represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligations in connection with the vesting of the restricted stock units reported herein. |
(3) | Represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligations in connection with the vesting of the shares of restricted stock issued to the Reporting Person on September 29, 2017 in connection with an equity award originally granted on October 18, 2016. |
(4) | Each 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. |
(5) | RSUs that become vested and nonforfeitable are paid in shares of Common Stock as soon as practicable following the vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RITTICHIER JEFFREY 2015 W. CHESTNUT STREET ALHAMBRA, CA 91803 | X |
| Chief Executive Officer |
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Signatures
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/s/ Ryan Hochgesang, attorney in fact | | 10/20/2020 |
**Signature of Reporting Person | Date |
EMCORE (NASDAQ:EMKR)
過去 株価チャート
から 9 2024 まで 10 2024
EMCORE (NASDAQ:EMKR)
過去 株価チャート
から 10 2023 まで 10 2024