Sec Form 4 Filing - Van Berkel Monica @ EMCORE CORP - 2012-12-06

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
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1. Name and Address of Reporting Person
Van Berkel Monica
2. Issuer Name and Ticker or Trading Symbol
EMCORE CORP [ EMKR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Admin. Officer
(Last) (First) (Middle)
10420 RESEARCH ROAD, SE
3. Date of Earliest Transaction (MM/DD/YY)
12/06/2012
(Street)
ALBUQUERQUE, NM87123
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/06/2012 M 2,256 A 23,955 ( 2 ) D
Common Stock 12/07/2012 S( 3 ) 1,004 D $ 3.9702 ( 4 ) 22,951 ( 2 ) D
Common Stock 6,505 ( 5 ) I By 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 6 ) 12/06/2012 M 2,256 ( 7 ) ( 8 ) Common Stock 2,256 ( 9 ) 4,513 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Van Berkel Monica
10420 RESEARCH ROAD, SE
ALBUQUERQUE, NM87123
Chief Admin. Officer
Signatures
/s/ Alfredo Gomez, attorney-in-fact 12/10/2012
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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. On December 6, 2012, the Issuer settled the restricted stock units in common stock.
( 2 )Includes 10,000 shares of restricted stock granted under the Company's 2010 Equity Incentive Plan, vesting in two equal annual installments beginning on January 28, 2013.
( 3 )All sales were effected pursuant to a 10b5-1 plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the vesting of shares of restricted stock that were granted under the Company's 2010 Equity Incentive Plan, which grant was exempt from Section 16b pursuant to Rule 16b-3(d).
( 4 )Reflects aggregate reporting of multiple open market transactions. The price reported is the weighted average sale price of sales ranging from $3.91 to $4.27 per share. The reporting person hereby undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
( 5 )Shares attributable to EMCORE Corporation 401(k) account as of September 30, 2012.
( 6 )Each restricted stock unit represents a contingent right to receive one share of Emcore common stock. Restricted stock units are payable, at the election of the issuer, in cash, Emcore common stock, or a combination of the two.
( 7 )2,256 restricted stock units vested on December 6, 2012.
( 8 )Remaining unvested restricted stock units vest in two equal annual installments commencing on December 6, 2013. Not later than 30 days after vesting occurs, vested shares of Emcore common stock, an amount in cash equal to their fair market value or a combination of both will be delivered to the reporting person.
( 9 )The restricted stock units were awarded to the reporting person for no cash or other similar consideration.

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