AWM Investment Company, Inc. - 15 Feb 2023 Form 3 Insider Report for EMCORE CORP

Role: 10%+ Owner
Signature: Adam Stettner
Issuer symbol: N/A
Transactions as of: 15 Feb 2023
Net transactions value: $0
Form type: 3
Filing time: 22 Feb 2023, 12:55:19 UTC
Previous filing: 06 Feb 2023
Next filing: 22 Feb 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	EMKR	Common Stock						6,539,988	15 Feb 2023	By Limited Partnerships	F1, F2

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

Explanation of Responses:

Id	Content
F1	AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, L.P. (SSPE), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (T2 and together with SSFQP, Cay, SSPE and Tech the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 2,837,143 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 736,984 Shares held by Cay, 609,074 Shares held by SSPE, 362,583 Shares held by Tech and 1,994,204 Shares held by T2.
F2	David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Content

AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, L.P. (SSPE), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (T2 and together with SSFQP, Cay, SSPE and Tech the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 2,837,143 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 736,984 Shares held by Cay, 609,074 Shares held by SSPE, 362,583 Shares held by Tech and 1,994,204 Shares held by T2.

David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.