# EDGAR Filing Document

**Accession Number:** 0000808326
**File Stem:** 0001214659-23-004236
**Filing Date:** 2023-3
**Character Count:** 7467
**Document Hash:** c5b3e665af4257f38a8309e4bcc216f6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001214659-23-004236.hdr.sgml**: 20230327

**ACCESSION NUMBER**: 0001214659-23-004236

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230323

**FILED AS OF DATE**: 20230327

**DATE AS OF CHANGE**: 20230327

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Minichiello Thomas P.
- **CENTRAL INDEX KEY:** 0001411719

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36632
- **FILM NUMBER:** 23764632

**MAIL ADDRESS:**
- **STREET 1:** 750 N. COMMONS DRIVE
- **CITY:** AURORA
- **STATE:** IL
- **ZIP:** 60504
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** EMCORE CORP
- **CENTRAL INDEX KEY:** 0000808326
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEMICONDUCTORS & RELATED DEVICES [3674]
- **IRS NUMBER:** 222746503
- **STATE OF INCORPORATION:** NJ
- **FISCAL YEAR END:** 0930

**BUSINESS ADDRESS:**
- **STREET 1:** 2015 W. CHESTNUT STREET
- **CITY:** ALHAMBRA
- **STATE:** CA
- **ZIP:** 91803
- **BUSINESS PHONE:** 626-293-3400

**MAIL ADDRESS:**
- **STREET 1:** 2015 W. CHESTNUT STREET
- **CITY:** ALHAMBRA
- **STATE:** CA
- **ZIP:** 91803

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Minichiello Thomas P.<br><sub>(Last) (First) (Middle)</sub><br>2015 CHESTNUT ST.<br><sub>(Street)</sub><br>ALHAMBRA, CA 91803<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-23 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>EMCORE CORP [ EMKR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | 2023-03-23 |  | A |  | 80800 | A | <sup>(1)</sup> | 163903<sup>(2)</sup> | D |  |
| Common Stock | 2023-03-23 |  | F |  | 2520<sup>(3)</sup> | D | $1.15 | 161383 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance-Based Restricted Stock Units (PSUs) | <sup>(4)</sup> | 2023-03-23 |  | A |  | 80800<sup>(4)</sup> |  | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock | 80800<sup>(4)</sup> | $0 | 80800<sup>(4)</sup> | D |  |

---

### Footnotes:

(1) Each restricted stock unit (RSU) represents a contingent right to receive one share of EMCORE common stock.  The RSUs were issued pursuant to the Amended and Restated EMCORE Corporation 2019 Equity Incentive Plan. The RSUs vest as to 1/4 of the underlying shares on each of the first four anniversaries of the grant date, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

(2) On August 29, 2022, the Reporting Person filed a Form 4 which inadvertently reported that he directly owned 91,603 shares of Common Stock.  The Reporting Person directly owned 83,103 shares of Common Stock following the transactions reported on such Form 4.

(3) On March 23, 2021, the Reporting Person was granted 34,000 RSUs, vesting in four equal annual installments beginning on the first anniversary of the grant date, which grant was previously reported on a Form 4, Table I.  The Reporting Person vested in 8,500 shares on March 23, 2023 from this RSU award.  The number of shares reported here represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligation in connection with the vesting of the RSUs on March 23, 2023.

(4) Each Performance-Based Restricted Stock Unit (PSU) represents a contingent right to receive one share of EMCORE common stock, based on a threshold average closing share price for EMCORE's common stock, as set by the Compensation Committee of the Board of Directors, during any 30-day period within the three-year period following the grant date.

(5) Either zero (0) or 100% of the PSUs will vest, if at all, on March 23, 2026, subject to the Reporting Person's continued service with the Issuer through such date.

**Signature:** Ryan Hochgesang, attorney in fact  
**Date:** 2023-03-27

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**