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OMB APPROVAL
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OMB Number: 3235-0104
Expires: October 31, 2001
Estimated average burden
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Hou Hong Q.
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(Last) (First) (Middle)
c/o EMCORE Corporation 145 Belmont Drive
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(Street)
Somerset, NJ 08873
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
October 1, 2000
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3. IRS Identification Number of Reporting Person, if an entity (voluntary)
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4. Issuer Name and Ticker or Trading Symbol
EMCORE Corporation (EMKR)
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
[ ] Director [ ] 10% Owner
[ x ] Officer (give title below) [ ] Other (specify below)
Vice President
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6. If Amendment, Date of Original (Month/Day/Year)
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7. Individual or Joint/Group Filing (Check applicable line)
[ x ] Form Filed by One Reporting Person
[ ] Form Filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr.5)
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(1) Common Stock 17,360 D
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Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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3. Title and Amount of Securities
Underlying Derivative Security
2. Date Exercisable (Instr. 4)
and Expiration Date ---------------------------------
(Month/Day/Year) Amount
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Date Expira- Number
1. Title of Derivative Exer- tion of
Security (Instr. 4) cisable Date Title Shares
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(1) Incentive Common (1) 3/9/08 Common Stock 176,000
Stock Options
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(2) Incentive Common
Stock Options (2) 1/4/10 Common Stock 20,000
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(3) Incentive Common
Stock Options (3) 4/14/10 Common Stock 20,000
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(1) 120,000 currently vested; 40,000 vest 3/9/02 and balance vest 3/9/03.
(2) 4,000 currently vested; remainder vest 4,000 per year beginning 1/4/02.
(3) 12,000 currently vested; remainder vest 4,000 per year beginning 2/16/02.
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Table II (cont.) -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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5. Owner-
ship
Form of
Derivative
4. Conver- Securities:
sion or Direct 6. Nature of
Exercise (D) or Indirect
Price of Indirect Beneficial
1. Title of Derivative Derivative (I) Ownership
Security (Instr. 4) Security (Instr.5) (Instr. 5)
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(1) Incentive Common $5.88 D
Stock Options
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(2) Incentive Common $22.00 D
Stock Options
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(3) Incentive Common
Stock Options $22.00 D
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Explanation of Responses:
/s/ Hong Q. Hou December 5, 2001
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**Signature of Reporting Person Date
* 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.
Alternatively, this form is permitted to be submitted to the
Commission in electronic format at the option of the reporting person
pursuant to Rule 101(b)(4) of Regulation S-T.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB number.
SEC 1473 (7-96)
