Key facts
- This page summarizes AWM Investment Company, Inc.'s Form 4 filing for EMCORE CORP.
- 4 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 20 Jun 2023, 16:51.
AWM Investment Company, Inc. - 15 Jun 2023 Form 4 Insider Report for EMCORE CORP
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- N/A
- Reported as of
- 15 Jun 2023
- Net transaction value
- -$455,440
- SEC form
- 4
- Accepted by SEC
- 20 Jun 2023, 16:51:40 UTC
- Prior SEC filing
- 14 Jun 2023
- Next SEC filing
- 28 Jun 2023
- Source filing
- View source filing
- Reporting owner signature
- Adam Stettner
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
AWM Investment Company, Inc. filed Form 4 for EMCORE CORP on 20 Jun 2023.
Change
- Previous filing in this sequence was filed on 14 Jun 2023.
- Current net transaction value: -$455,440.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
EMKR
transaction
Common Stock
Sale
- Transaction value
- $199,890
- Shares
- -300,000
- Change %
- -5.1%
- Price
- $0.6663
- Shares after
- 5,630,963
- Date
- 15 Jun 2023
- Ownership
- By Limited Partnerships
- Footnotes
- F1
EMKR
transaction
Common Stock
Sale
- Transaction value
- $162,197
- Shares
- -235,000
- Change %
- -4.2%
- Price
- $0.6902
- Shares after
- 5,395,963
- Date
- 16 Jun 2023
- Ownership
- By Limited Partnerships
- Footnotes
- F1
EMKR
transaction
Common Stock
Sale
- Transaction value
- $97.11
- Shares
- -139
- Change %
- -0%
- Price
- $0.6986
- Shares after
- 5,395,824
- Date
- 20 Jun 2023
- Ownership
- By Limited Partnerships
EMKR
transaction
Common Stock
Sale
- Transaction value
- $93,256
- Shares
- -133,528
- Change %
- -2.5%
- Price
- $0.6984
- Shares after
- 5,262,296
- Date
- 20 Jun 2023
- Ownership
- By Limited Partnerships
- Footnotes
- F1, F2, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
AWM Investment Company, Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 3 footnotes
Footnote F1
This is a weighted average price.
Footnote 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.
Footnote 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.