Albert Lu - 04 Apr 2022 Form 4 Insider Report for EMCORE CORP

Role: SVP & GM, Aerospace & Defense
Signature: Ryan Hochgesang, attorney in fact
Issuer symbol: N/A
Transactions as of: 04 Apr 2022
Net transactions value: -$3,809
Form type: 4
Filing time: 05 Apr 2022, 16:12:53 UTC
Previous filing: 24 Mar 2022
Next filing: 27 Apr 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		+2,500	+3.8%		68,604	04 Apr 2022	Direct	F1
transaction	EMKR	Common Stock	Tax liability	$3,809	-1,024	-1.5%	$3.72	67,580	04 Apr 2022	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		-2,500	-50%		2,500	04 Apr 2022	Emcore Common Stock	2,500		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 April 4, 2019, the reporting person was granted 10,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date