Albert Lu - 28 Dec 2021 Form 4 Insider Report for EMCORE CORP

Role: Sr. V.P. of Engineering
Signature: Ryan Hochgesang, attorney in fact
Issuer symbol: N/A
Transactions as of: 28 Dec 2021
Net transactions value: -$8,506
Form type: 4
Filing time: 29 Dec 2021, 15:23:01 UTC
Previous filing: 22 Dec 2021
Next filing: 15 Mar 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	EMKR	Common Stock	Options Exercise		+3,500	+5.2%		71,207	28 Dec 2021	Direct	F1
transaction	EMKR	Common Stock	Tax liability	$8,506	-1,210	-1.7%	$7.03^*	69,997	28 Dec 2021	Direct	F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	EMKR	Restricted Stock Units (RSUs)	Options Exercise		-3,500	-100%		0	28 Dec 2021	Emcore Common Stock	3,500		Direct	F1, F3, F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
F2	Represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligations in connection with the vesting of the restricted stock units reported herein.
F3	Each restricted stock unit represented a contingent right to receive one share of Emcore common stock.
F4	On December 28, 2017, the reporting person was granted 14,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date