UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
OMB APPROVAL
OMB Number 3235-0287
Expires: September 30, 1998
Estimated average burden hours per response: 0.5
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Last, First, Middle: Russell, Thomas
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Street: Two North Tamiami Trail, Suite 1200
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City, State, Zip: Sarasota, FL 34326
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2. Issuer Name and Ticker or Trading Symbol
EMCORE Corporation (EMKR)
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3. IRS or Social Security Number of Reporting Person (Voluntary)
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4. Statement for Month/Year
June 1998
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
[ X ] Director [ ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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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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* If the form is filed by more than one reporting person,
see Instruction 4(b)(v).
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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4.
Securities Acquired (A) or
3. Disposed of (D)
Transaction (Instr. 3, 4 and 5)
2. Code -----------------------------
1. Transaction (Instr. 8) (A)
Title of Security Date ------------ Amount or Price
(Instr. 3) (mm/dd/yy) Code V (D)
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(1)
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned (continued)
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5. 6. Owner-
Amount of ship
Securities Form: 7.
Beneficially Direct Nature of
Owned at End (D) or Indirect
1. of Month Indirect Beneficial
Title of Security (Instr. 3 (I) Ownership
(Instr. 3) and 4) (Instr.4) (Instr. 4)
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(1)
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
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Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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6.
Date
5. Exercisable and
2. 4. Number of Derivative Expiration Date
1. Conversion or Transaction Securities Acquired (A) (Month/Day/Year)
Title of Exercise 3. Code or Disposed of (D) ----------------
Derivative Price of Transaction (Instr. 8) (Instr. 3, 4 and 5) Date Expira-
Security Derivative Date (Month/ ------ ----------------------- Exer- tion
(Instr. 3) Security Day/Year) Code V A) (D) cisable Date
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(1) Common Stock Warrant $4.08 6/8/98 P 10,000 Immed. 5/1/01
(right to buy)
(2) Common Stock Warrant $11.50 6/30/98 X* Immed. 5/1/01
(right to buy)
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Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) (cont.)
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7.
Title and Amount
of Underlying
Securities 9. 10.
(Instr. 3 and 4) Number of Ownership
---------------- Derivative Form of 11.
1. Amount 8. Securities Derivative Nature of
Title of or Price of Beneficially Security: Indirect
Derivative Number Derivative Owned Direct (D) Beneficial
Security of Security at End of Month or Indirect Ownership
(Instr. 3) Title Shares (Instr. 5) (Instr.4) (I) (Instr. 4) (Instr. 4)
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(1) Common Stock Warrant Common 10,000 $14.00 D
(right to buy)
(2) Common Stock Warrant Common 142,342 * 152,342 D
(right to buy)
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*Warrants issued to reporting person in exchange for guarantee of certain
Company indebtedness
By: /s/ Thomas G. Werthan 7/10/98
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Name: Thomas G. Werthan Date
Attorney-in-fact
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Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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