1
FORM 4 OMB APPROVAL
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ---------------------------
[ ] Check this box if no longer WASHINGTON, D.C. 20549 OMB Number: 3235-0287
subject to Section 16. Form Expires: February 1, 1994
4 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden
continue. See Instruction 1(b). hours per response.... 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
(Print or Type Responses) Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
- ------------------------------------------------------------------------------------------------------------------------------------
1. Name and Address of Reporting | 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting Person(s)
Person* | | to Issuer (Check all applicable)
Takayama Shigeo | EMCORE Corporation (EMKR) | __X__ Director _____ 10% Owner
- ----------------------------------------------------------------------------------------| _____ Officer (give title below)
(Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | _____ Other (specify below)
| Security Number | Month/Year | ________________________________
1-1-13 Shinjuku (Hakuto Co. Ltd.) | of Reporting | February, 1998 |----------------------------------------
| Person (Voluntary) |-------------------------|
- ------------------------------------| | 5. If Amendment, |
(Street) | | Date of Original |
| | (Month/Year) |
Shinjuku-ku Tokyo, 160 Japan | | |
- ------------------------------------------------------------------------------------------------------------------------------------
(City) (State) (Zip) | TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
- ------------------------------------------------------------------------------------------------------------------------------------
1. Title of Security | 2. Transaction| 3. Transaction| 4. Securities Acquired(A)| 5. Amount of| 6.Owner-| 7.Nature
(Instr. 3) | Date | Code | or Disposed of (D) | Securities | ship | of
| (Month/Day/| (Instr. 8) | (Instr. 3, 4, and 5) | Beneficially| Form: | Indirect
| Year) | | | Owned at End| Direct | Bene-
| | --------------|--------------------------| of Month | (D) or | ficial
| | | | Amount | (A) | Price | (Instr. 3 | Indirect| Owner-
| | Code | V | | or | | and 4) | (I) | ship
| | | | | (D) | | |(Instr.4)|(Instr.4)
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
Common Stock | 2/10/98 | P | | 10,000 | A | 14.00 | | I | Corporation
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
Common Stock | 2/12/98 | P | | 5,000 | A | 15.00 | | I | Corporation
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
Common Stock | 2/13/98 | P | | 5,000 | A | 15.00 | | I | Corporation
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
Common Stock | 2/17/98 | P | | 5,000 | A | 15.25 | 452,368 | I | Corporation
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
| | | | | | | | |
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
| | | | | | | | |
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
| | | | | | | | |
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
| | | | | | | | |
- ------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|------------
| | | | | | | | |
- ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
SEC 1474 (1-91)
2
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
- ------------------------------------------------------------------------------------------------------------------------------------
1. Title of Derivative Security| 2. Conversion| 3. Transaction| 4. Transaction| 5. Number of | 6. Date Exer- | 7.Title and Amount
(Instr. 3) | or Exercise | Date | Code | Derivative | cisable and | of Underlying
| Price of | | (Instr. 8) | Securities | Expiration Date | Securities
| Derivative | (Month/Day/ | | Acquired (A) | (Month/Day/Year) | (Instr. 3 and 4)
| Security | Year) | | or Disposed | |
| | | | of (D) |--------------------------------------
| | | | (Instr. 3, | Date | Expir- | | Amount or
| | | | 4, and 5) | Exer- | ation | Title | Number of
| | |---------------|--------------| cisable | Date | | Shares
| | | Code | V | (A) | (D) | | | |
- ------------------------------------------------------------------------------------------------------------------------------------
| | | | | | | | | |
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|----------
| | | | | | | | | |
- ------------------------------------------------------------------------------------------------------------------------------------
8. Price of | 9. Number of | 10. Ownership | 11. Nature of |
Derivative | Derivative | Form of | Indirect |
Security | Securities | Derivative | Beneficial |
(Instr. 5) | Beneficially | Security; | Ownership |
| Owned at End | Direct (D) or | (Instr. 4) |
| of Month | Indirect (I) | |
| (Instr. 4) | (Instr. 4) | |
- -----------------------------------------------------------------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- ---------------|-----------------|--------------------|----------------|
| | | |
- -----------------------------------------------------------------------
Explanation of Responses:
All shares reported hereunder are owned by Hakuto Co. Ltd., a Japanese corporation of which Mr. Takayama is President, CEO and a
significant stockholder. Mr. Takayama disclaims beneficial ownership of the shares reported hereunder.
** 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 provided is insufficient, see Instruction 6 for procedure.
/s/ Scott Barnett 04/02/98
-------------------------------- ------------------
** Signature of Reporting Person Date
Page 2
SEC 1474(1-91)
3
POWER OF ATTORNEY
Shigeo Takayama, a citizen of Japan (the "Grantor"), hereby makes, constitutes
and appoints each of JAMES M. COONAN, THOMAS P. MCMENAMIN and SCOTT B.
BARNETT, of Masuda, Funai, Eifert & Mitchell, Ltd., the Company's United States
legal counsel as true and lawful attorney for and in the Grantor's name to
execute and deliver jointly and severally all documents and take such actions
as may be necessary or appropriate to prepare and file with the United States
Securities and Exchange Commission, and any other federal or state agency, all
reports, filings and documents relating to the acquisition, ownership or
disposition of securities of U.S. companies, giving and granting unto each of
JAMES M. COONAN, THOMAS P. MCMENAMIN and SCOTT B. BARNETT, said attorneys, full
power of attorney, jointly, and severally, to do and perform all acts in
connection therewith as the Grantor could do in his own stead, with full power
of substitution and revocation, hereby ratifying and confirming all that either
JAMES M. COONAN, THOMAS P. MCMENAMIN and SCOTT B. BARNETT or their substitutes
shall lawfully do or cause to be done by virtue thereof.
IN WITNESS WHEREOF, the Grantor has caused this Power of Attorney to be
executed this 2nd day of April, 1998.
/s/ Shigeo Takayama
-------------------
Shigeo Takayama
