Form: 3

Initial statement of beneficial ownership of securities

March 17, 2017

Documents

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES


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*
Lu Albert
(Last) (First) (Middle)
2015 W. CHESTNUT STREET
(Street)
ALHAMBRA CA 91803
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/16/2017 		3. Issuer Name and Ticker or Trading Symbol
EMCORE CORP [ EMKR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr. V.P. of Engineering
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
Emcore Common Stock(1) 1,992(1) D(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units(2) (2) (2) Common Stock 17,578(2) 0(2) D
Performance-Based Restricted Stock Units (PSUs)(3) (3) (3) Common Stock 12,127(3) 0(3) D(3)
Explanation of Responses:
1. 1,992 shares owned as of March 16, 2017. .
2. Includes (a) 8,471 shares of restricted stock that vest 2,118 shares on December 14, 2017, 2018 and 2019 and 2,117 shares on December 14, 2020; (b) 5,638 shares of restricted stock that vest in two equal annual installments beginning on February 16, 2018; and (c) 3,469 shares of restricted stock that vest on March 9, 2018.
3. Includes 12,127 of target restricted performance stock units ("PSUs") that vest on December 14, 2019. The PSUs issued will vest based on a combination of the relative total shareholder return of EMCORE's stock compared to the Russell Microcap Index and the employee's continued employment. The total number of shares to be issued may range from zero (0) to 200% of the target PSUs granted.
Remarks:
Mark A. Gordon, attorney in fact 03/17/2017
** 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.