AWM Investment Company, Inc. - 15 Jun 2023 Form 4 Insider Report for EMCORE CORP

Role
10%+ Owner
Signature
Adam Stettner
Issuer symbol
N/A
Transactions as of
15 Jun 2023
Net transactions value
-$455,440
Form type
4
Filing time
20 Jun 2023, 16:51:40 UTC
Previous filing
14 Jun 2023
Next filing
28 Jun 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EMKR Common Stock Sale $199,890 -300,000 -5.1% $0.6663 5,630,963 15 Jun 2023 By Limited Partnerships F1
transaction EMKR Common Stock Sale $162,197 -235,000 -4.2% $0.6902 5,395,963 16 Jun 2023 By Limited Partnerships F1
transaction EMKR Common Stock Sale $97.11 -139 -0% $0.6986 5,395,824 20 Jun 2023 By Limited Partnerships
transaction EMKR Common Stock Sale $93,256 -133,528 -2.5% $0.6984 5,262,296 20 Jun 2023 By Limited Partnerships F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

AWM Investment Company, Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 This is a weighted average price.
F2 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 2,266,959 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 696,039 Shares held by Cay, 489,748 Shares held by SSPE, 280,329 Shares held by Tech and 1,529,221 Shares held by T2.
F3 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.