View:
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
______________
SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2(1)
(1) The remainder of this cover page shall be filled out for a reporting
person's 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 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).
EMCORE CORPORATION
(Name of issuer)
Common Stock, no par value
(Title of class of securities)
290846104
(CUSIP number)
Check the following box if a fee is being paid with this statement( ).
(A fee is not required only if the filing person: (1) has a previous statement
on file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
(CONTINUED ON FOLLOWING PAGE(S))
(Page 1 of 6 Pages)
- ------------------- -----------------
CUSIP No. 290846104 13G Page 2 of 6 Pages
- ------------------- -----------------
- ------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Thomas J. Russell
- ------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (x)
(b) ( )
- ------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Florida
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 190,775
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
------------------------------------------------
6 SHARED VOTING POWER
1,960,469*
------------------------------------------------
7 SOLE DISPOSITIVE POWER
190,775
------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,960,469*
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
2,151,244*
- ------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES ( )
- ------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
21.5%
- ------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
* See footnote on page 4.
- ------------------- -----------------
CUSIP No. 290846104 13G Page 3 of 6 Pages
- ------------------- -----------------
- ------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
The AER 1997 Trust
- ------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (x)
(b) ( )
- ------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Florida
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 1,960,469
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
-------------------------------------------------
6 SHARED VOTING POWER
0
-------------------------------------------------
7 SOLE DISPOSITIVE POWER
1,960,469
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
1,960,469
- ------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES ( )
- ------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
19.9%
- ------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
OO
- ------------------------------------------------------------------------------
ITEM 1(A). NAME OF ISSUER:
EMCORE Corporation
ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
394 Elizabeth Avenue
Somerset, New Jersey 08873
ITEM 2(A). NAME OF PERSON FILING:
This statement is filed on behalf of:
(a) Thomas J. Russell
(b) The AER 1997 Trust
ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
The principal business address of the Reporting Persons is:
(a) Thomas J. Russell:
Two North Tamiami Trail
Suite 1200
Sarasota, Florida 34236
(b) The AER 1997 Trust:
c/o Thomas J. Russell
Two North Tamiami Trail
Sarasota, Florida 34236
ITEM 2(C). CITIZENSHIP:
(a) Thomas J. Russell: Florida
(b) The AER 1997 Trust: New York
ITEM 2(D). TITLE OF CLASS OF SECURITIES:
Common Stock, no par value.
* Includes 1,446,559 shares and warrants to purchase 513,910 shares held by
The AER 1997 Trust. Thomas J. Russell is one of three trustees of The AER 1997
Trust. Such trustees share authority over the assets of the trust. These shares
and warrants wer acquired prior to the time that EMCORE Corporation common
stock was registered under the Securities and Exchange Act of 1934.
(Page 4 of 6 Pages)
ITEM 2(E). CUSIP NUMBER:
290846104
ITEM 3. Not applicable.
ITEM 4. OWNERSHIP.
======================================================================================================================
Amount Percent Sole Shared Sole Shared
Entity Beneficially of Class Voting Voting Power Dispositive Dispositive
Owned Power Power Power
======================================================================================================================
Thomas J. 2,151,244(a) 21.5% 190,775 1,960,469(a) 190,775 1,960,469(a)
Russell
- ----------------------------------------------------------------------------------------------------------------------
The AER 1,960,469 19.9% 1,960,469 0 1,960,469 0
1997 Trust
======================================================================================================================
(a) Includes 1,446,559 shares and warrants to purchase 513,910 shares held by
The AER 1997 Trust. Thomas J. Russell is one of three trustees of The AER
1997 Trust. Such trustees share authority over the assets of the trust.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
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.
ITEM 10. CERTIFICATION.
Not applicable.
(Page 5 of 6 Pages)
SIGNATURE
After reasonable inquiry and to the best of the knowledge and belief
of the undersigned, the undersigned certify that the information set forth in
this statement is true, complete and correct.
February 10, 1998
Thomas J. Russell
____________________________
Name: Thomas G. Werthan
Title: Attorney-in-fact
The AER 1997 Trust
____________________________
Name: Thomas G. Werthan
Title: Attorney-in-fact
(Page 6 of 6 Pages)