Albert Lu - Dec 28, 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 28, 2021
Transactions value $
-$8,506
Form type
4
Date filed
12/29/2021, 03:23 PM
Previous filing
Dec 22, 2021
Next filing
Mar 15, 2022
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 +3.5K +5.17% 71.2K Dec 28, 2021 Direct F1
transaction EMKR Common Stock Tax liability -$8.51K -1.21K -1.7% $7.03* 70K Dec 28, 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 -3.5K -100% 0 Dec 28, 2021 Emcore Common Stock 3.5K 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 28, 2017, the reporting person was granted 14,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date