Thomas P. Minichiello - Aug 26, 2023 Form 4 Insider Report for EMCORE CORP (EMKR)

Role
Chief Financial Officer
Signature
Ryan Hochgesang, attorney in fact
Stock symbol
EMKR
Transactions as of
Aug 26, 2023
Transactions value $
-$3,409
Form type
4
Date filed
8/28/2023, 04:11 PM
Previous filing
Jun 20, 2023
Next filing
Mar 26, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EMKR Common Stock Options Exercise +25K +8.92% 305K Aug 26, 2023 Direct F1
transaction EMKR Common Stock Tax liability -$3.41K -6.09K -1.99% $0.56 299K Aug 26, 2023 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 -25K -100% 0 Aug 26, 2023 Emcore Common Stock 25K 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. Restricted stock units were payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
F4 On August 26, 2019, the reporting person was granted 100,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date