SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
RICHARDS REUBEN F JR

(Last) (First) (Middle)
C/O EMCORE CORP
10420 RESEARCH ROAD SE

(Street)
ALBUQUERQUE NM 87123

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
EMCORE CORP [ EMKR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Exec Chairman & Chair of Board
3. Date of Earliest Transaction (Month/Day/Year)
09/30/2012
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 09/30/2012 M 8,333 A (1) 145,074 D
Common Stock 09/30/2012 M 17,812 A (1) 162,886 D
Common Stock 09/30/2012 M 10,000 A (1) 172,886 D
Common Stock 43,750 I By Spouse
Common Stock 2,500 I By Spouse In Pension Fund
Common Stock 2,500 I By Trust For Benefit Of Daughter
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (1) 09/30/2012 M 8,333 (2) 09/30/2015 Common Stock 8,333 (3) 0 D
Restricted Stock Units (1) 09/30/2012 M 17,812 (2) 09/30/2015 Common Stock 17,812 (3) 0 D
Restricted Stock Units (1) 09/30/2012 M 10,000 (2) 09/30/2015 Common Stock 10,000 (3) 0 D
Explanation of Responses:
1. Each restricted stock unit represented a contingent right to receive one share of Emcore common stock. Restricted stock units were payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two. On September 30, 2012, the Issuer settled the restricted stock units in common stock.
2. Pursuant to a general separation and release agreement, dated August 6, 2012, between the Issuer and the Reporting Person, all outstanding restricted stock units of the Reporting Person vested on September 30, 2012, in conjunction with the Reporting Person?s separation from the Issuer.
3. The restricted stock units were awarded to the reporting person for no cash or other similar consideration.
Remarks:
/s/ Alfredo Gomez, attorney-in-fact 10/02/2012
** 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 4 (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.
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