Albert Lu - Dec 21, 2021 Form 4 Insider Report for EMCORE CORP (EMKR)

Role: Sr. V.P. of Engineering
Signature: Ryan Hochgesang, attorney in fact
Stock symbol: EMKR
Transactions as of: Dec 21, 2021
Transactions value $: -$3,007
Form type: 4
Date filed: 12/22/2021, 03:12 PM
Next filing: Dec 29, 2021
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		+1.32K	+1.98%		68.2K	Dec 21, 2021	Direct	F1
transaction	EMKR	Common Stock	Tax liability	-$3.01K	-457	-0.67%	$6.58^*	67.7K	Dec 21, 2021	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		-1.32K	-33.33%		2.65K	Dec 21, 2021	Emcore Common Stock	1.32K		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 December 21, 2019, the reporting person was granted 5,292 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date