UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units (1) | Â (1) | Â (1) | Common Stock | 17,614 (1) | $ 0 (1) | D (1) | Â |
Performance-Based Restricted Stock Units (PSUs) (2) | Â (2) | Â (2) | Common Stock | 7,211 (2) | $ 0 (2) | D (2) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wojciechowski David Gregory 2015 W. CHESTNUT STREET ALHAMBRA, CA 91803 |
 |  |  Vice President, Sales |  |
Mark A. Gordon, attorney in fact | 03/17/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes (a) 6,939 shares of restricted stock that vest 3,470 shares on June 29, 2017 and 3,469 shares that vest on June 29, 2018; (b) 5,037 shares of restricted stock that vest 1,260 shares on December 14, 2017 and 1,259 shares on December 14, 2018, 2019 and 2020; and (c) 5,638 shares of restricted stock that vest in two equal annual installments beginning on February 16, 2018. |
(2) | Includes 7,211 of target restricted performance stock units ("PSUs") that vest on December 14, 2019. The PSUs issued will vest based on a combination of the relative total shareholder return of EMCORE's stock compared to the Russell Microcap Index and the employee's continued employment. The total number of shares to be issued may range from zero (0) to 200% of the target PSUs granted. |