SC 13G/A: Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions
Published on February 14, 2020
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Schedule 13G
(Amendment 2)
Under the Securities Exchange Act of 1934
Emcore Corporation
(Name of Issuer)
Common Stock
(Title of Class of Securities)
290846203
(CUSIP Number)
December 31, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[_] Rule 13d-1(d)
The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that Section
of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
CUSIP No. 290846203
1. Names of Reporting Persons
Laurence W. Lytton
2. Check the Appropriate Box if a Member of a Group (See
Not Applicable
3. SEC Use Only
4. Citizenship or Place of Organization
USA
Number of
Shares Beneficially Owned By
Each Reporting Person With
5. Sole Voting Power 2,703,736
6. Shared Voting Power 55,142
7. Sole Dispositive Power 2,703,736
8. Shared Dispositive Power 55,142
9. Aggregate Amount Beneficially Owned by Each Reporting Person
2,758,878
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions) [_]
Not Applicable
11. Percent of Class Represented by Amount in Row (9)
9.5% (1)
(1) based on 29,078,804.00 shares outstanding as of February 3, 2020,
as reported in the 10-Q for the period ending December 31, 2019.
12. Type of Reporting Person (See
Instructions)
IN
Item 1.
(a) Name of Issuer Emcore
(b) Address of Issuer's Principal Executive Offices
2015 W. Chestnut Street, Alhambra, California, 91803
Item 2.
(a) Name of Person Filing
Laurence W. Lytton
(b) Address of Principal Business Office, or if none, Residence
467 CPW NY, NY 10025
(c) Citizenship
USA
(d) Title of Class of Securities
Common Stock
(e) CUSIP Number
290846203
Item 3. not applicable
Item 4. Ownership.
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned: 2,758,878 shares consisting of
2,390,007 held by the reporting person, 181,756 held by the AWL
Family LLC, 73,673 held by the Lytton-Kambara Foundation,
43,000 shares held by the WWL Trust, 15,300 held by the KLL Trust
15,583 held by the IKL Trust, and 39,559 held by other
related accounts.
(b) Percent of class: 9.5%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote 2,703,736
(ii) Shared power to vote or to direct the vote 55,142
(iii) Sole power to dispose or to direct the disposition of 2,703,736
(iv) Shared power to dispose or to direct the disposition of 55,142
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities check the following [_].
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
not applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company.
Not Applicable
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certifications.
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the ordinary
course of business and were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer of
the securities and were not acquired and are not held in connection with or
as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
________2/14/20____________________________
Date
____s/ Laurence W. Lytton____________________________
Signature
_____Laurence W. Lytton___________________________
Name/Title