UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities and Exchange Act of 1934
(Amendment No. 1)
EMCORE CORPORATION
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(Name of Issuer)
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Common Stock, no par value per share
(Title of Class of Securities)
290846104
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(CUSIP Number)
Not applicable
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(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)
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13G
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CUSIP No. 290846104
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GE CAPITAL EQUITY INVESTMENTS, INC., a Delaware corporation
06-1268495
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
- ---------
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
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5 SOLE VOTING POWER
0
------- ------------------------------------------------
------- ------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY
OWNED BY
EACH 734,512
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------- ------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH
0
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------- ------------------------------------------------
8 SHARED DISPOSITIVE POWER
734,512
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
734,512
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
NOT APPLICABLE
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.34%
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12 TYPE OF REPORTING PERSON
CO
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13G
CUSIP No. 290846104 Page 3 of 12 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GENERAL ELECTRIC CAPITAL CORPORATION, a New York corporation
13-1500700
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
- ---------
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
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5 SOLE VOTING POWER
0
------- ------------------------------------------------
------- ------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY
OWNED BY 734,512
EACH
------- ------------------------------------------------
------- ------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH
0
------- ------------------------------------------------
------- ------------------------------------------------
8 SHARED DISPOSITIVE POWER
734,512
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
734,512
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
NOT APPLICABLE
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.34%
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12 TYPE OF REPORTING PERSON
CO
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13G
CUSIP No. 290846104 Page 4 of 12 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GENERAL ELECTRIC CAPITAL SERVICES, INC., a Delaware corporation
06-1109503
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
- ---------
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
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5 SOLE VOTING POWER
DISCLAIMED (SEE 9 BELOW)
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NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY
OWNED BY DISCLAIMED (SEE 9 BELOW)
EACH
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REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH
DISCLAIMED (SEE 9 BELOW)
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8 SHARED DISPOSITIVE POWER
DISCLAIMED (SEE 9 BELOW)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
BENEFICIAL OWNERSHIP OF ALL SHARES IS DISCLAIMED BY GENERAL ELECTRIC
CAPITAL SERVICES, INC.
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
NOT APPLICABLE
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
NOT APPLICABLE (SEE 9 ABOVE)
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12 TYPE OF REPORTING PERSON
CO
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13G
CUSIP No. 290846104 Page 5 of 12 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GENERAL ELECTRIC COMPANY, a New York corporation
14-0689340
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
- ---------
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
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5 SOLE VOTING POWER
DISCLAIMED (SEE 9 BELOW)
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------- ------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY
OWNED BY DISCLAIMED (SEE 9 BELOW)
EACH
------- ------------------------------------------------
------- ------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH
DISCLAIMED (SEE 9 BELOW)
------- ------------------------------------------------
------- ------------------------------------------------
8 SHARED DISPOSITIVE POWER
DISCLAIMED (SEE 9 BELOW)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
BENEFICIAL OWNERSHIP OF ALL SHARES OWNED IS DISCLAIMED BY GENERAL
ELECTRIC COMPANY.
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
NOT APPLICABLE
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
NOT APPLICABLE (SEE 9 ABOVE)
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12 TYPE OF REPORTING PERSON
CO
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13G
CUSIP No. 290846104 Page 6 of 12 Pages
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Item 1(a) Name of Issuer:
This statement relates to the Common Stock, no par value per share (the
"Common Stock"), of EMCORE Corporation, Inc., a New Jersey corporation (the
"Issuer"), which is held by GE Capital Equity Investments, Inc. ("GECEI").
Item 1(b) Address of Issuer's Principal Executive Offices:
The address of the principal executive offices of the Issuer is 394
Elizabeth Avenue, Somerset, New Jersey, 08873.
Item 2 Person Filing:
(a)-(c) This statement is being filed by GECEI, General Electric Company, a
New York corporation ("GE"), General Electric Capital Corporation ("GE Capital")
and General Electric Capital Services, Inc. ("GECS"). The agreement among each
of GECEI, GE Capital, GECS and GE that this statement be filed on behalf of each
of them is attached as Exhibit A to the Schedule 13G for EMCORE Corporation
dated June 4, 1999.
GECS is a wholly-owned subsidiary of GE, GE Capital is a subsidiary of GECS
and GECEI is a subsidiary of GE Capital. GECEI is a Delaware corporation with
its principal business office located at 120 Long Ridge Road, Stamford,
Connecticut 06927. GE Capital is a New York corporation with its principal
business office located at 260 Long Ridge Road, Stamford, Connecticut 06927.
GECS is a Delaware corporation with its principal business office located at 260
Long Ridge Road, Stamford, Connecticut 06927. GE is a New York corporation with
its principal business office located at 3135 Easton Turnpike, Fairfield,
Connecticut 06431.
(d)-(e) This statement relates to the Common Stock of the Issuer, no par
value per share. The CUSIP No. for such shares is 290846104.
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13G
CUSIP No. 290846104 Page 7 of 12 Pages
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Item 3 If this statement is filed pursuant to Rules 13d-1(b), or
13d-2(b), or 13d-1(c) check whether the person filing is a:
Not applicable
Item 4 Ownership:
(a)-(c) The response of GECEI, GE Capital, GECS and GE to Items 5, 6, 7, 8,
9 and 11 of each of their respective Cover Sheets which relate to the beneficial
ownership of the Common Stock of the Issuer is incorporated herein by reference.
All 734,512 of such shares are owned directly by GECEI.
Each of GECS and GE hereby expressly disclaims the beneficial ownership of
any Common Stock of the Issuer directly owned by GECEI.
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 [x ].
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.
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13G
CUSIP No. 290846104 Page 8 of 12 Pages
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Item 10 Certification:
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above 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.
Date: February 14, 2001
GE CAPITAL EQUITY INVESTMENTS, INC.
By: /s/ Jonathan Sprole
Name: Jonathan Sprole
Title: Managing Director and General Counsel
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13G
CUSIP No. 290846104 Page 9 of 12 Pages
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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.
Date: February 14, 2001
GENERAL ELECTRIC CAPITAL CORPORATION
By: /s/ Jonathan Sprole
Name: Jonathan Sprole
Title: Department Operations Manager
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13G
CUSIP No. 290846104 Page 10 of 12 Pages
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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.
Date: February 14, 2001
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Jonathan Sprole
Name: Jonathan Sprole
Title: Attorney-in-Fact
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13G
CUSIP No. 290846104 Page 11 of 12 Pages
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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.
Date: February 14, 2001
GENERAL ELECTRIC COMPANY
By: /s/ Jonathan Sprole
Name: Jonathan Sprole
Title: Attorney-in-Fact
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13G
CUSIP No. 290846104 Page 12 of 12 Pages
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EXHIBIT LIST
EXHIBIT NO. DESCRIPTION
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A. Joint Filing Agreement, dated June 3, 1999, among
GECEI, GE Capital, GECS and GE to file joint
statement on Schedule 13G (incorporated by reference
to Schedule 13G for EMCORE Corporation dated June 4,
1999 filed by GECEI, GE Capital, GECS and GE)
B. Power of Attorney of General Electric Capital Services, Inc.
C. Power of Attorney of General Electric Company
Exhibit B
POWER OF ATTORNEY
The undersigned, General Electric Capital Services, Inc., a Delaware
corporation (hereinafter referred to as the "Corporation") does hereby make,
constitute and appoint the persons listed below as the Corporation's true and
lawful agent and attorney-in-fact (hereinafter referred to as the "Attorney") to
act either together or alone in the name and on behalf of the Corporation for
and with respect to the matters hereinafter described.
Name of Attorney: Michael A. Guadino
Robert O. O'Reilly, Sr.
Murry K. Stegelmann
James Ungari
Preston Abbott
Leon E. Roday
J. Gordon Smith
Michael E. Pralle
Iain MacKay
Jonathan K. Sprole
Barbara J. Gould
Robert L. Lewis
Wendy E. Ormond
Mark F. Mylon
Each Attorney shall have the power and authority to do the
following:
To execute and deliver any Schedule 13D, Schedule 13G or Forms 3, 4
and 5 or any amendments thereto required to be filed with the
Securities and Exchange Commission under the Securities Exchange Act
of 1934 on behalf of the Corporation with regard to any securities
owned by the Corporation, General Electric Capital Corporation or
any of their subsidiaries;
And, in connection with the foregoing, to execute and deliver all
documents, acknowledgments, consents and other agreements and to take such
further action as may be necessary or convenient for the Corporation in order to
more effectively carry out the intent and purpose of the foregoing.
Agreements, commitments, documents, instruments, and other writings
executed by the Attorney in accordance with the terms hereof shall be binding
upon the Corporation without attestation and without affixation of the seal of
the Corporation. The Power of Attorney conferred hereby shall not be delegable
by any Attorney. The Attorney shall serve without compensation for acting in the
capacity of agent and attorney-in-fact hereunder.
Unless revoked by the Corporation, this Power of Attorney shall be
governed under the laws of the State of New York and the authority of the
Attorney hereunder shall terminate on March 31, 2002.
IN WITNESS WHEREOF, the Corporation has caused this Power of
Attorney to be executed, attested and its corporate seal to be affixed pursuant
to authority granted by the Corporation's board of directors, as of the 22nd day
of February, 2000.
General Electric Capital Services, Inc.
By: /s/ Nancy E. Barton
Nancy E. Barton, Senior Vice President
(Corporate Seal)
Attest:
/s/ Brian T. McAnaney
Brian T. McAnaney, Assistant Secretary
Exhibit C
POWER OF ATTORNEY
The undersigned, General Electric Company, a New York corporation
(hereinafter referred to as the "Corporation") does hereby make, constitute and
appoint the persons listed below as the Corporation's true and lawful agent and
attorney-in-fact (hereinafter referred to as the "Attorney") to act either
together or alone in the name and on behalf of the Corporation for and with
respect to the matters hereinafter described.
Name of Attorney: Joan C. Amble
Nancy E. Barton
Jeffrey S. Werner
Leon E. Roday
Michael A. Guadino
Robert O. O'Reilly, Sr.
Preston Abbott
Murry K. Stegelmann
James Ungari
J. Gordon Smith
Michael E. Pralle
Iain MacKay
Jonathan K. Sprole
Barbara J. Gould
Robert L. Lewis
Wendy E. Ormond
Mark F. Mylon
Each Attorney shall have the power and authority to do the
following:
To execute and deliver any Schedule 13D, Schedule 13G or Forms 3, 4
and 5 or any amendments thereto required to be filed with the
Securities and Exchange Commission under the Securities Exchange Act
of 1934 on behalf of the Corporation with regard to any securities
owned by General Electric Capital Services, Inc., General Electric
Capital Corporation or any of their subsidiaries;
And, in connection with the foregoing, to execute and deliver all
documents, acknowledgments, consents and other agreements and to
take such further action as may be necessary or convenient for the
Corporation in order to more effectively carry out the intent and
purpose of the foregoing.
Agreements, commitments, documents, instruments, and other writings
executed by the Attorney in accordance with the terms hereof shall be binding
upon the Corporation without attestation and without affixation of the seal of
the Corporation. The Power of Attorney conferred hereby shall not be delegable
by any Attorney. The Attorney shall serve without compensation for acting in the
capacity of agent and attorney-in-fact hereunder.
Unless sooner revoked by the Corporation, this Power of Attorney shall
be governed under the laws of the State of New York and the authority of the
Attorney hereunder shall terminate on March 31, 2002.
IN WITNESS WHEREOF, the Corporation has caused this Power of Attorney
to be executed, attested and its corporate seal to be affixed pursuant to
authority granted by the Corporation's board of directors, as of the 22nd day of
February, 2000.
General Electric Company
By: /s/ Philip D. Ameen
Philip D. Ameen, Vice President
(Corporate Seal)
Attest:
/s/ Robert E. Healing
Robert E. Healing, Attesting Secretary