4/A: Statement of changes in beneficial ownership of securities
Published on February 3, 2006
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIPFiled 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EMCORE CORP [ EMKR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/04/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 01/04/2006 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
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Code | V | Amount | (A) or (D) | Price | ||||||
EMCORE Corporation Common Stock | 01/04/2006 | M | 10,000 | A | $5.1 | 109,732 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | S | 10,000 | D | $7.85 | 99,732 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | M | 500 | A | $2.63(1) | 100,232 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | S | 500 | D | $7.74 | 99,732 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | M | 1,600 | A | $2.63(1) | 101,332 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | S | 1,600 | D | $7.73 | 99,732 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | M | 4,150 | A | $2.63(1) | 103,882 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | S | 4,150 | D | $7.72 | 99,732 | D | |||
EMCORE Corporation Common Stock | 01/04/2006 | S | 6,000 | D | $7.85 | 93,732(2) | D | |||
EMCORE Corporation Common Stock | 548 | I | By 401(k) Plan |
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $5.1 | 01/04/2006 | M | 10,000 | (3) | 11/22/2006 | Common Stock | 10,000 | $0 | 16,110(4) | D | ||||
Employee Stock Option (right to buy) | $2.63 | 01/04/2006 | M | 6,250 | (5) | 05/18/2014 | Common Stock | 6,250 | $0 | 6,250 | D |
Explanation of Responses: |
1. The original report erroneously reported these options as part of the $5.10 options. This amendment corrects that error. |
2. All Sales Made Pursuant to 10b5-1 Plan. The original report erroneously reported the sale of 6,000 shares as the exercise and sale of 6,000 incentive stock options. This amendment corrects that error. |
3. The option vested in five equal annual installments beginning on November 22, 1997. |
4. The number of remaining $5.10 options was misreported in the Form 4 filed on December 15, 2006. The correct number should have been 59,210. There was also a mathematical error in the From 4 filed on December 19, 2006. The correct ending balance should have been 39,210. |
5. This option vests in four equal installments beginning on May 18, 2005. |
Remarks: |
/s/ Richard A. Stall | 02/03/2006 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.