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, 2013
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
EMCORE CORPORATION
(Name of Issuer)
Common Stock, no par value
(Title of Class of Securities)
290846203
(CUSIP Number)
December 31, 2012
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[ X ]
Rule 13d-1(b)
[ ]
Rule 13d-1(c)
[ ]
Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons 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).
Continued on following pages
Page 1 of 9 Pages
Exhibit Index: Page 8
CUSIP No.: 290846203 13G Page 2 of 9 Pages
1.
Names of Reporting Persons.
COLUMBUS CAPITAL MANAGEMENT, LLC
2.
Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [ ]
3.
SEC Use Only
4.
Citizenship or Place of Organization
CALIFORNIA
NUMBER OF SHARES BENEFICIALLY OWNED
BY EACH REPORTING PERSON WITH:
5.
Sole Voting Power
0
6.
Shared Voting Power
1,293,157
7.
Sole Dispositive Power
0
8.
Shared Dispositive Power
1,293,157
9.
Aggregate Amount Beneficially Owned by Each Reporting Person
1,293,157
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
[ ]
11.
Percent of Class Represented by Amount in Row (9)
4.9%
12.
Type of Reporting Person:
IA
CUSIP No.: 290846203 13G Page 3 of 9 Pages
1.
Names of Reporting Persons.
MATTHEW D. OCKNER
2.
Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [ ]
3.
SEC Use Only
4.
Citizenship or Place of Organization
UNITED STATES OF AMERICA
NUMBER OF SHARES BENEFICIALLY OWNED
BY EACH REPORTING PERSON WITH:
5.
Sole Voting Power
0
6.
Shared Voting Power
1,293,157
7.
Sole Dispositive Power
0
8.
Shared Dispositive Power
1,293,157
9.
Aggregate Amount Beneficially Owned by Each Reporting Person
1,293,157
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
[ ]
11.
Percent of Class Represented by Amount in Row (9)
4.9%
12.
Type of Reporting Person:
IN, HC
CUSIP No.: 290846203 13G Page 4 of 9 Pages
Item 1(a).
Name of Issuer:
Emcore Corporation (the Issuer).
Item 1(b).
Address of Issuers Principal Executive Offices:
10420 Research Road, SE, Albuquerque, New Mexico, 87123.
Item 2(a).
Name of Person Filing:
This Statement is filed on behalf of each of the following persons (collectively, the Reporting Persons):
i)
Columbus Capital Management, LLC (CCM); and
ii)
Matthew D. Ockner (Mr. Ockner).
This statement relates to Shares (as defined herein) held for the account of each of Columbus Capital Partners, L.P. (CCP), Columbus Capital Offshore Fund, Ltd. ("CCOF") and Columbus Capital QP Partners, L.P. (CCQP). CCM is the general partner to CCP and CCQP, and the investment manager to CCOF. Mr. Ockner is the managing member of CCM. In such capacities, CCM and Mr. Ockner may be deemed to have voting and dispositive power over the Shares held for the account of CCP, CCQP and CCOF.
Item 2(b).
Address of Principal Business Office or, if None, Residence:
The address of the principal business office of each of CCM and Mr. Ockner is 1 Market Street, Spear Tower, Suite 3790, San Francisco, CA 94105.
Item 2(c).
Citizenship:
i)
CCM is a California limited liability company; and
ii)
Mr. Ockner is a citizen of the United States of America.
Item 2(d).
Title of Class of Securities:
Common Stock, no par value (the Shares)
Item 2(e).
CUSIP Number:
290846203
Item 3.
If This Statement is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing is a:
(e) [x] An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
(g) [x] A parent holding company or control person in accordance with §240.13d–1(b)(1)(ii)(G).
Page 5 of 9 Pages
Item 4.
Ownership:
Item 4(a)
Amount Beneficially Owned:
As of December 31, 2012, each of CCM and Mr. Ockner may have been deemed the beneficial owner of 1,293,157 Shares. This amount consists of: (i) 934,500 Shares held for the account of CCP; (ii) 289,400 Shares held for the account of CCQP; and (iii) 69,257 Shares held for the account of CCOF.
Item 4(b)
Percent of Class:
As of December 31, 2012, each of CCM and Mr. Ockner may have been deemed the beneficial owner of approximately 4.9% of Shares outstanding. (There were approximately 26,378,745 Shares outstanding according to the Issuers Form 10-K filed December 13, 2012.)
Item 4(c)
Number of Shares of which such person has:
CCM and Mr. Ockner:
(i)
Sole power to vote or direct the vote:
0
(ii)
Shared power to vote or direct the vote:
1,293,157
(iii)
Sole power to dispose or direct the disposition of:
0
(iv)
Shared power to dispose or direct the disposition of:
1,293,157
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 each of the Reporting Persons has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [x].
Item 6.
Ownership of More than Five Percent on Behalf of Another Person:
CCM serves as general partner to CCP and CCQP, and as investment manager to CCOF, each of which has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares.
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person:
See disclosure in Item 2 hereof.
Item 8.
Identification and Classification of Members of the Group:
This Item 8 is not applicable.
Item 9.
Notice of Dissolution of Group:
This Item 9 is not applicable.
Page 6 of 9 Pages
Item 10.
Certification:
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, other than activities solely in connection with a nomination under Sec. 240.14a-11.
Page 7 of 9 Pages
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.
February 14, 2013
COLUMBUS CAPITAL MANAGEMENT, LLC
By: /s/
Matthew D. Ockner
Name:
Matthew D. Ockner
Title:
Managing Member
MATTHEW D. OCKNER
By: /s/
Matthew D. Ockner
Name:
Matthew D. Ockner
Page 8 of 9 Pages
EXHIBIT INDEX
Ex.
Page No.
A
Joint Filing Agreement
9
Page 9 of 9 Pages
EXHIBIT A
JOINT FILING AGREEMENT
The undersigned hereby agree that the statement on Schedule 13G with respect to the Common Stock of Emcore Corporation, dated as of February 14, 2013, is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended.
February 14, 2013
COLUMBUS CAPITAL MANAGEMENT, LLC
By: /s/
Matthew D. Ockner
Name:
Matthew D. Ockner
Title:
Managing Member
MATTHEW D. OCKNER
By: /s/
Matthew D. Ockner
Name:
Matthew D. Ockner