3: Initial statement of beneficial ownership of securities
Published on January 31, 2011
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/21/2011 |
3. Issuer Name and Ticker or Trading Symbol
EMCORE CORP [ EMKR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Common Stock | 1,304 | D | |
Common Stock | 16,893 | I | By Trust 401(k) |
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (1) | 05/24/2014 | Common Stock | 27,250 | 3.08 | D | |
Employee Stock Option (right to buy) | (2) | 02/28/2015 | Common Stock | 15,000 | 3 | D | |
Employee Stock Option (right to buy) | (2) | 12/29/2015 | Common Stock | 713 | 7.32 | D | |
Employee Stock Option (right to buy) | (2) | 08/28/2016 | Common Stock | 45,000 | 7.29 | D | |
Employee Stock Option (right to buy) | (3) | 03/29/2017 | Common Stock | 20,000 | 4.98 | D | |
Employee Stock Option (right to buy) | (4) | 09/25/2017 | Common Stock | 10,000 | 8.78 | D | |
Employee Stock Option (right to buy) | (5) | 05/19/2018 | Common Stock | 70,000 | 8.38 | D | |
Employee Stock Option (right to buy) | (6) | 05/29/2019 | Common Stock | 75,000 | 1.31 | D | |
Employee Stock Option (right to buy) | (7) | 07/27/2019 | Common Stock | 80,000 | 1.25 | D |
Explanation of Responses: |
1. This grant was originally made for 50,000 options, of which 27,250 remain outstanding and are fully vested and exercisable. |
2. These options are fully vested end exercisable. |
3. Of the 20,000 outstanding options, 15,000 options are fully vested and exercisable, and the remaining 5,000 options are scheduled to vest on 3/29/2011. |
4. Of the 10,000 outstanding options, 7,500 options are fully vested and exercisable, and the remaining 2,500 options are scheduled to vest on 09/25/2011. |
5. Of the 70,000 outstanding options, 35,000 options are fully vested and exercisable, and the remaining 35,000 options are scheduled to vest in two equal annual installments on 05/19/2011 and 5/19/2012. |
6. Of the 75,000 outstanding options, 18,750 options are fully vested and exercisable, and the remaining 56,250 options are scheduled to vest in three equal annual installments 05/29/2011, 05/29/2012 and 05/29/2013. |
7. Of the 80,000 outstanding options, 20,000 options are fully vested and exercisable, and the remaining 60,000 options are scheduled to vest in three equal annual installments on 07/27/2011, 07/27/2012 and 07/27/2013. |
/s/ Monica Van Berkel | 01/28/2011 | |
** 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 5 (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.