8-K: Current report filing
Published on December 22, 2006
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act of 1934
December
18, 2006
Date
of Report (Date of earliest event reported)
EMCORE
CORPORATION
Exact
Name of Registrant as Specified in its Charter
|
New
Jersey
|
0-22175
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22-2746503
|
|
State
of Incorporation
|
Commission
File Number
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IRS
Employer Identification Number
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145
Belmont Drive, Somerset, New Jersey, 08873
Address
of principal executive offices, including zip code
(732)
271-9090
Registrant's
telephone number, including area code
Check
the
appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions:
|
o
|
Written
communications pursuant to Rule 425 under the Securities Act (17
CFR
230.425)
|
|
o
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
|
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o
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR
240.14d-2(b))
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o
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR
240.13e-4(c))
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ITEM
3.01. Notice
of Delisting or Failure to Satisfy a Continued Listing Rule or Standard;
Transfer of Listing.
On
December 18, 2006, EMCORE Corporation (the “Company”) received a NASDAQ Staff
Determination letter stating that the Company is not in compliance with the
filing requirements for continued listing set forth in NASDAQ Marketplace Rule
4310(c)(14) and that its common stock is subject to delisting from The Nasdaq
Stock Market. The notice, which the Company expected, was issued as a result
of
the Company’s failure to file its annual report on Form 10-K for the year ended
September 30, 2006 with the Securities and Exchange Commission by the required
deadline. The Company had previously filed a Form 12b-25 with the SEC indicating
that the Company would be unable to file its Form 10-K by the original filing
deadline of December 14, 2006 due to the Company’s ongoing review of its prior
stock option grants.
The
Company will request a hearing before the NASDAQ Listing Qualifications Panel
to
review the Staff Determination letter and request continued listing. The Company
can make no assurances that the NASDAQ Listing Qualifications Panel will grant
the Company’s request for continued listing. Under Nasdaq Marketplace rules, the
Company’s request for a hearing will automatically stay the delisting of the
Company’s common stock pending the issuance of a written determination by the
NASDAQ Listing Qualifications Panel.
The
Company plans to file its Form 10-K for the year ended September 30, 2006 as
soon as reasonably practicable.
A
copy of
the press release announcing the receipt of this letter is attached hereto
as
Exhibit 99.1 and is incorporated herein by reference.
Item
9.01. Financial
Statements and Exhibits.
(d) Exhibits
|
Exhibit
Number
|
Description
|
|
99.1
|
Press
Release, dated December 22, 2006, issued by EMCORE
Corporation.
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SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant
has
duly caused this report to be signed on its behalf by the undersigned hereunto
duly authorized.
|
|
EMCORE
CORPORATION
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Dated:
December 22, 2006
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By: /s/
Thomas G. Werthan
Name:
Thomas G. Werthan
Title:
Chief Financial Officer
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EXHIBIT
INDEX
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Exhibit
Number
|
Description
|
|
99.1
|
Press
Release, dated December 22, 2006, issued by EMCORE
Corporation.
|