Thomas P. Minichiello - 26 Aug 2022 Form 4 Insider Report for EMCORE CORP (EMKR)

Role: Chief Financial Officer
Signature: Ryan Hochgesang, attorney in fact
Issuer symbol: EMKR
Transactions as of: 26 Aug 2022
Transactions value $: -$14,913
Form type: 4
Filing time: 29 Aug 2022, 16:03:16
Previous filing: 24 Mar 2022
Next filing: 27 Mar 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	Options Exercise		+25K	+34.39%		97.7K	26 Aug 2022	Direct	F1
transaction	EMKR	Common Stock	Tax liability	-$14.9K	-6.09K	-6.23%	$2.45	91.6K	26 Aug 2022	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		-25K	-50%		25K	26 Aug 2022	Emcore Common Stock	25K		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. Restricted stock units were payable, at the election of the Issuer, in cash, Emcore common stock, or a combination of the two.
F4	On August 26, 2019, the reporting person was granted 100,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date