![Statement of changes in beneficial ownership - form 4](https://www.moneycontroller.it/upload/aziende/emcore-corporation_20210421154511.jpg)
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security | 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 | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Minichiello Thomas P. C/O EMCORE CORPORATION 450 CLARK DR. BUDD LAKE, NJ07828 |
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Chief Financial Officer |
Signatures
/s/ Ryan Hochgesang, attorney in fact | 2024-06-18 |
**Signature of Reporting Person | Date |
Explanation of Responses:
(*) | 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). |
(1) | Each restricted stock unit (RSU) represents a contingent right to receive one share of EMCORE common stock. The RSUs were issued pursuant to the Amended and Restated EMCORE Corporation 2019 Equity Incentive Plan. The RSUs vest as to 1/3 of the underlying shares on each of the first three anniversaries of the grant date, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date. |
(2) | On June 15, 2023, the Reporting Person was granted 11,890 RSUs, vesting in four equal annual installments beginning on the first anniversary of the grant date, which grant was previously reported on a Form 4, Table I. The Reporting Person vested in 2,973 shares on June 15, 2024 from this RSU award. The number of shares reported here represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligation in connection with the vesting of the RSUs on June 15, 2024. |
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Emcore Corporation published this content on 18 June 2024 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 19 June 2024 10:58:06 UTC.