Statistiche di base
| LEI | 529900B9OHDEWU534K08 |
| CIK | 808326 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Emcore Corporation
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| March 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-36632 EMCORE CORPORATION (Exact name of registrant as specified in its |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
AMENDED & RESTATED CERTIFICATE OF INCORPORATION OF EMCORE CORPORATION Exhibit 3.1 AMENDED & RESTATED CERTIFICATE OF INCORPORATION OF EMCORE CORPORATION Pursuant to the provisions of Section 14A:9-1 and Section 14A:9-5 of the New Jersey Business Corporation Act (the “Act”), the undersigned corporation hereby executes the following Amended and Restated Certificate of Incorporation (the “Certificate of Incorporation”): Article 1 Business Name The name of the corporatio |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2025 EMCORE CORPORATION (Exact name of registrant as specified in its charter) New Jersey 001-36632 22-2746503 (State or other jurisdiction of incorporation) (Commission |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
AMENDED AND RESTATED EMCORE CORPORATION Article I OFFICES AND RECORDS Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF EMCORE CORPORATION Article I OFFICES AND RECORDS 1. Registered Office and Principal Place of Business. The registered office of EMCORE Corporation (the “Corporation”) shall be located within the State of New Jersey as set forth in the Corporation’s certificate of incorporation, as amended or restated (the “Certificate of Incorporation”). The board of dire |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2025 EMCORE CORPORATION (Exact name of registrant as specified in its charter) New Jersey 001-36632 22-2746503 (State or other jurisdiction of incorporation) (Commission |
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| February 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| February 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 EMCORE Corporatio |
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| February 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 13, 2025 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ide |
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| February 13, 2025 |
EMCORE Reports Fiscal 2025 First Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2025 First Quarter Results BUDD LAKE, NJ, February 13, 2025 – EMCORE Corporation (Nasdaq: EMKR), a leading provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2025 first quarter (1Q25) ended December 31, 2024. “Gross profit margins increased significantly in fiscal 1Q25, primarily driven by the c |
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| January 24, 2025 |
DEFM14A 1 d834968ddefm14a.htm DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission On |
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| January 14, 2025 |
Directors’ Compensation Policy (amended effective October 1, 2024). 1 EMCORE CORPORATION DIRECTORS’ COMPENSATION POLICY (Amended Effective as of October 1, 2024) Directors of EMCORE Corporation (the “Company”) who are not employed by the Company or one of its subsidiaries (“non-employee directors”) are entitled to the compensation set forth below for their service as a member of the Board of Directors (the “Board”) of the Company. |
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| January 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 EMCORE |
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| January 14, 2025 |
Exhibit 21.1 EMCORE Corporation subsidiaries Name EMCORE Chicago Inertial Corporation, a Delaware corporation EMCORE Space & Navigation Corporation, a Delaware corporation EMCORE Hong Kong, Limited, a Hong Kong corporation Langfang EMCORE Optoelectronics Company, Limited, a Chinese corporation EMCORE Optoelectronics (Beijing) Co., LTD, a Chinese corporation |
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| January 14, 2025 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Schedule 14A (Form Type) EMCORE Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Proposed Maximum Aggregate Value of Transaction Fee Rate Amount of Filing Fee Fees to Be Paid $36,975,362. |
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| January 14, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| January 14, 2025 |
EMCORE Corporation Executive Insider Trading Policy. 74351603 EMCORE CORPORATION EXECUTIVE INSIDER TRADING POLICY (Amended June 15, 2023) This Executive Insider Trading Policy (the “Executive Policy”) applies to all members of the Board of Directors, senior officers (i. |
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| January 14, 2025 |
EMCORE Corporation General Insider Trading Policy. 1 EMCORE CORPORATION General Insider Trading Policy (Amended June 15, 2023) I. PURPOSE The federal securities laws are designed to ensure that investors are on equal footing with insiders and have access to the same information in making their investment decisions. Anyone who has knowledge of material nonpublic information may be considered an “insider” for purposes of the federal securities laws |
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| January 3, 2025 |
EMCORE Reports Fiscal 2024 Fourth Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2024 Fourth Quarter Results BUDD LAKE, NJ, January 3, 2025 – EMCORE Corporation (Nasdaq: EMKR), a leading provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2024 fourth quarter (4Q24) ended September 30, 2024. “As we close out the fiscal year, we are pleased to report that execution on our previ |
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| January 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 3, 2025 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ident |
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| December 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 001-36632 FORM 12b-25 CUSIP NUMBER 290846 104 NOTIFICATION OF LATE FILING (Check One): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: September 30, 2024 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ T |
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| November 18, 2024 |
EMKR / Emcore Corporation / Beryl Capital Management LLC Passive Investment SC 13G 1 emcore13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846401 (CUSIP Number) November 11, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 14, 2024 |
EMKR / Emcore Corporation / LYTTON LAURENCE W Passive Investment SC 13G/A 1 emkr13ga3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846401 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| November 8, 2024 |
Press Release dated November 8, 2024. Exhibit 99.1 Velocity One Signs Merger Agreement with EMCORE (EMKR) Transaction will unite industry leaders to create an emerging force in the aerospace and defense industry Fairfield, New Jersey (November 8, 2024) – Velocity One, a newly formed aerospace manufacturing holding company, announced today it has signed a merger agreement with EMCORE Corporation (Nasdaq: EMKR) (“EMCORE”), a provider of |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| November 8, 2024 |
Exhibit 99.1 Velocity One Signs Merger Agreement with EMCORE (EMKR) Transaction will unite industry leaders to create an emerging force in the aerospace and defense industry Fairfield, New Jersey (November 8, 2024) – Velocity One, a newly formed aerospace manufacturing holding company, announced today it has signed a merger agreement with EMCORE Corporation (Nasdaq: EMKR) (“EMCORE”), a provider of |
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| November 8, 2024 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among VELOCITY ONE HOLDINGS, LP AEROSPHERE POWER INC., VELOCITY MERGER SUB, INC. and EMCORE CORPORATION Dated as of November 7, 2024 Table of Contents ARTICLE 1 THE MERGER 2 1.1 The Merger 2 1.2 Closing and Effective Time of the Merger 3 ARTICLE 2 CONVERSION OF SECURITIES IN THE MERGER 3 2.1 Conversion of Securities 3 2.2 Payment fo |
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| November 8, 2024 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among VELOCITY ONE HOLDINGS, LP AEROSPHERE POWER INC., VELOCITY MERGER SUB, INC. and EMCORE CORPORATION Dated as of November 7, 2024 Table of Contents ARTICLE 1 THE MERGER 2 1.1 The Merger 2 1.2 Closing and Effective Time of the Merger 3 ARTICLE 2 CONVERSION OF SECURITIES IN THE MERGER 3 2.1 Conversion of Securities 3 2.2 Payment fo |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2024 EMCORE CORPORATION (Exact name of registrant as specified in its charter) New Jersey 001-36632 22-2746503 (State or other jurisdiction of incorporation) (Commission F |
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| November 4, 2024 |
EMKR / EMCORE Corporation / CHOPRA VIKAS Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* EMCORE Corporation (Name of Issuer) common Stocks (Title of Class of Securities) 290846401 (CUSIP Number) August 13th 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| November 4, 2024 |
EMKR / EMCORE Corporation / CHOPRA VIKAS Passive Investment begin 644 sc13g.pdf M)5!$1BTQ+C0*)=/KZ>$*,2 P(&]B:@H\/"]4:71L92 H770NEP"OHXZZWXOH M5Q=4]G+X>>#E%XX[J8?2DLCR"KN-GIU2?'[[]7??3X>>#%E+Q0&M\E7[W M\Y<##1?]%4WOOCEQ\/#5[K[\1\'WRG3.<7=0.Z'@^\T#;^KR^^*3?J&IOD; M\T^8^2=W?WO]E^=HG3^2$LB=2+2CDAY(N5Z+D3:]N\-W*2R(JC^NQUUKWI'HF4 M&:^P8*:!Z.7*A8ZVMY7.5VGP*J54POG>Y(.]K-).*[/3BCE:\>G"[:H;R23( MD8[6I,PDYR3;\(WC2%$=H^O/X[7A,STW-;P<@\<[;2:TW1-8ADYDE':V4YH M,2I-RJN0S^ |
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| October 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 30, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Id |
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| October 1, 2024 |
Emcore Corporation Confirms Receipt of Unsolicited, Non-Binding Proposal from Mobix Labs, Inc. Exhibit 99.1 Emcore Corporation Confirms Receipt of Unsolicited, Non-Binding Proposal from Mobix Labs, Inc. BUDD LAKE, NJ, October 1, 2024 – EMCORE Corporation (Nasdaq: EMKR) (“Emcore” or the “Company), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today confirmed that it has received an unsolicited, non-binding proposal from Mobix |
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| September 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (a |
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| August 14, 2024 |
EMCORE Reports Fiscal 2024 Third Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2024 Third Quarter Results BUDD LAKE, NJ, August 6, 2024 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2024 third quarter (3Q24) ended June 30, 2024. Management will host a conference call to discuss 3Q24 financial and bus |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 6, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 EMCORE Corporation (E |
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| August 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 001-36632 FORM 12b-25 CUSIP NUMBER 290846 104 NOTIFICATION OF LATE FILING (Check One): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: June 30, 2024 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transi |
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| August 7, 2024 |
EMCORE Corporation 450 Clark Drive Budd Lake, NJ 07828 August 7, 2024 EMCORE Corporation 450 Clark Drive Budd Lake, NJ 07828 August 7, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| August 6, 2024 |
EMCORE Reports Fiscal 2024 Third Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2024 Third Quarter Results BUDD LAKE, NJ, August 6, 2024 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2024 third quarter (3Q24) ended June 30, 2024. Management will host a conference call to discuss 3Q24 financial and bus |
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| August 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 6, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 5, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| July 31, 2024 |
Exhibit 10.2 ADDENDUM TO EXECUTIVE OFFER OF EMPLOYMENT This Addendum (the “Addendum” is made as of July 25, 2024 to that certain Amended and Restated Offer of Employment dated May 8, 2024 (the “Agreement”), by and between EMCORE Corporation, a New Jersey corporation (the “Company”), and Matthew Vargas (the “Executive”). Thank you for your willingness to serve on the Company’s Board of Directors (t |
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| July 31, 2024 |
Directors’ Compensation Policy (amended effective as of May 26, 2024). Exhibit 10.1 EMCORE CORPORATION DIRECTORS’ COMPENSATION POLICY (Amended Effective as of May 26, 2024) Directors of EMCORE Corporation (the “Company”) who are not employed by the Company or one of its subsidiaries (“non-employee directors”) are entitled to the compensation set forth below for their service as a member of the Board of Directors (the “Board”) of the Company. This policy shall remain |
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| July 31, 2024 |
Exhibit 107 Calculation of Filing Fee Table S-3 (Form Type) EMCORE Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(1) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, no par value per share 457(a) 1,810,528(2) $1. |
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| July 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 25, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identif |
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| July 31, 2024 |
As filed with the Securities and Exchange Commission on July 31, 2024 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 31, 2024 Registration No. |
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| July 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 3, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identifi |
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| June 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 14, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identif |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 31, 2024 |
Exhibit 1.01 - Conflict Minerals Report EMCORE Corporation Form SD-2023 Exhibit 1.01 Conflict Minerals Report Conflict Minerals Disclosure I. Introduction EMCORE Corporation is providing this Conflict Minerals Report (“CMR”) for the calendar year ended December 31, 2023, as an exhibit to Form SD, pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”), as amended. The Rule requires disclosure of certai |
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| May 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 20, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identifi |
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| May 23, 2024 |
EMCORE Restructuring Update: Personnel Reduction and Alhambra Closure Exhibit 99.1 EMCORE Restructuring Update: Personnel Reduction and Alhambra Closure Budd Lake, NJ May 23 2024 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced personnel and expense reduction actions, including the planned full closure of the Alhambra, CA site. Personnel reductions ar |
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| May 23, 2024 |
Exhibit 10.1 SEPARATION AND GENERAL RELEASE AGREEMENT This Separation and General Release Agreement (the “Agreement”) is entered into by and between EMCORE Corporation (the “Company”) and Jeffrey Rittichier (“Employee”) (collectively, the “Parties”). In consideration of the mutual promises and covenants contained in this Agreement, Employee and the Company agree as follows: 1. Effectiv |
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| May 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 14, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identifi |
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| May 14, 2024 |
agentresignationandappoi RESIGNATION AND APPOINTMENT OF AGENT AGREEMENT AND ASSIGNMENT OF FINANCING DOCUMENTS This Resignation and Appointment of Agent Agreement and Assignment of Financing Documents (this “Agreement”), dated as of April 29, 2024 (the “Effective Date”), by and among Wingspire Capital LLC (“Wingspire”), in its capacity as Agent (as such term is defined below) and HCP-FVU, LLC, as the “Successor Agent” (the “Successor Agent”). |
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| May 14, 2024 |
haleforbearanceagreement 4886-4488-9784.v5 FORBEARANCE AGREEMENT AND SECOND AMENDMENT TO CREDIT AGREEMENT Reference is made to that certain Credit Agreement, dated as of August 9, 2022 (as the same has been and may in the future be amended, restated, modified, renewed or extended from time to time in accordance with its terms, the “Credit Agreement”), among EMCORE Corporation, a New Jersey corpora |
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| May 14, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 EM |
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| May 14, 2024 |
CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION OF EMCORE CORPORATION TO: State Treasurer State of New Jersey Pursuant to the provisions of Sections 14A:9-2(4) and 14A:9-4(3), Corporations, General of the New Jersey Statutes, the undersigned corporation executes the following Certificate of Amendment to its Restated Certificate of Incorporation: 1. |
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| May 13, 2024 |
SEC FILE NUMBER 001-36632 CUSIP NUMBER 290846 104 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 13, 2024 |
EMKR / EMCORE Corporation / Archon Capital Management LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| May 8, 2024 |
Exhibit 10.2 May 8, 2024 Matthew Vargas 12 Hartford Place Warwick, RI 02888 Dear Matthew: It is a pleasure to extend to you this amended and restated offer of employment to continue your employment at EMCORE Corporation (the “Company” of “EMCORE”) as its VP, Sales and Interim Chief Executive Officer in Middletown, RI, reporting to EMCORE’s Board of Directors (the “Board”). This amended and restate |
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| May 8, 2024 |
4874-1767-3568.v5 EMCORE CORPORATION EXECUTIVE SEVERANCE AND CHANGE IN CONTROL AGREEMENT This Executive Severance and Change in Control Agreement (this “Agreement”), is made and entered into effective as May 17, 2023 (the “Effective Date”), by and between Matthew Vargas (the “Executive”) and EMCORE Corporation, a New Jersey corporation (the “Company”). RECITALS A. It is expected that the Company f |
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| May 8, 2024 |
EMCORE Reports Fiscal 2024 Second Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2024 Second Quarter Results BUDD LAKE, NJ, May 8, 2024 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2024 second quarter (2Q24) ended March 31, 2024. Management will host a conference call to discuss 2Q24 financial and bus |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 7, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identific |
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| May 2, 2024 |
Exhibit 10.2 FORBEARANCE AGREEMENT AND SECOND AMENDMENT TO CREDIT AGREEMENT Reference is made to that certain Credit Agreement, dated as of August 9, 2022 (as the same has been and may in the future be amended, restated, modified, renewed or extended from time to time in accordance with its terms, the “Credit Agreement”), among EMCORE Corporation, a New Jersey corporation (the “Company”), the dome |
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| May 2, 2024 |
Exhibit 2.1 ASSET PURCHASE AGREEMENT between EMCORE Corporation and HieFo Corporation Dated as of April 30, 2024 TABLE OF CONTENTS Article I DEFINITIONS; REFERENCES 4 Section 1.1 Specific Definitions 4 Section 1.2 Other Terms 13 Section 1.3 Other Definitional Provisions; References 13 ARTICLE II purchase and sale of assets; assumption of liabilities 13 Section 2.1 Purchase and Sale of the Business |
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| May 2, 2024 |
Exhibit 10.1 RESIGNATION AND APPOINTMENT OF AGENT AGREEMENT AND ASSIGNMENT OF FINANCING DOCUMENTS This Resignation and Appointment of Agent Agreement and Assignment of Financing Documents (this “Agreement”), dated as of April 25, 2024 (the “Effective Date”), by and among Wingspire Capital LLC (“Wingspire”), in its capacity as Agent (as such term is defined below) and HCP-FVU, LLC, as the “Successo |
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| May 2, 2024 |
Exhibit 4.1 NEITHER THIS WARRANT NOR THE SECURITIES FOR WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT (AS DEFINED HEREIN) OR THE SECURITIES LAWS OF ANY STATE, AND, ACCORDINGLY, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAILABLE EXEMPTION FROM, OR IN A TRANSAC |
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| May 2, 2024 |
Exhibit 99.1 PRESS RELEASE EMCORE Announces Sale of Chips Business and Wafer Fabrication Operations for $2.92M and Certain Assumed Liabilities BUDD LAKE, NJ, May 2, 2024 – (GLOBENEWSIRE) EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, announced today the consummation effective April 30, 2024 of a tr |
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| May 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 29, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| April 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 19, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| April 3, 2024 |
Exhibit 107 Calculation of Filing Fee Tables S-8 (Form Type) EMCORE Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, no par value per share 457(a) 789,000(2) $3. |
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| April 3, 2024 |
Exhibit 99.1 EMCORE CORPORATION AMENDED AND RESTATED 2019 EQUITY INCENTIVE PLAN 1. PURPOSE OF PLAN The purpose of this EMCORE Corporation Amended and Restated 2019 Equity Incentive Plan (this “Plan”) of EMCORE Corporation, a New Jersey corporation (the “Corporation”), is to promote the success of the Corporation by providing an additional means through the grant of awards to attract, motivat |
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| April 3, 2024 |
As filed with the Securities and Exchange Commission on April 3, 2024 As filed with the Securities and Exchange Commission on April 3, 2024 Registration No. |
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| March 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 25, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| March 20, 2024 |
Exhibit 10.1 EMCORE CORPORATION AMENDED AND RESTATED 2019 EQUITY INCENTIVE PLAN 1. PURPOSE OF PLAN The purpose of this EMCORE Corporation Amended and Restated 2019 Equity Incentive Plan (this “Plan”) of EMCORE Corporation, a New Jersey corporation (the “Corporation”), is to promote the success of the Corporation by providing an additional means through the grant of awards to attract, motivate, ret |
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| March 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 15, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| March 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 4)1 EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846203 (CUSIP Number) BRADLEY L. RADOFF 2727 Kirby Dri |
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| February 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 20, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ide |
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| February 21, 2024 |
EMCORE Amended and Restated Bylaws, as amended through February 20, 2024. Exhibit 3.1 BYLAWS OF EMCORE CORPORATION As Amended Through February 20, 2024 Article I OFFICES 1. Principal Place of Business. The principal place of business of EMCORE Corporation (the “Corporation”) is 450 Clark Dr., Budd Lake, NJ 07828. 2. Other Places of Business. Branch or subordinate places of business or offices may be established at any time by the Board of Directors |
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| February 16, 2024 |
EMKR / EMCORE Corporation / Archon Capital Management LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2024 |
EMKR / EMCORE Corporation / Portolan Capital Management, LLC - SC 13G/A Passive Investment SC 13G/A 1 tm246171d2sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 1 )* EMCORE Corporation (Name of Issuer) Common (Title of Class of Securities) 290846203 (CUSIP Number) December 31, |
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| February 14, 2024 |
EMKR / EMCORE Corporation / LYTTON LAURENCE W Passive Investment SC 13G/A 1 emcore13ga2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846203 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
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| February 13, 2024 |
EMKR / EMCORE Corporation / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0833-emcorecorp.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: EMCORE Corp Title of Class of Securities: Common Stock CUSIP Number: 290846203 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pur |
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| February 12, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 |
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| February 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 001-36632 FORM 12b-25 CUSIP NUMBER 290846 104 NOTIFICATION OF LATE FILING (Check One): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: December 31, 2023 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Tr |
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| February 12, 2024 |
EMKR / EMCORE Corporation / Archon Capital Management LLC Passive Investment SC 13G/A 1 d1097234413g-a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* EMCORE Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 290846203 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| February 12, 2024 |
EMKR / EMCORE Corporation / Neuberger Berman Group LLC Passive Investment SC 13G/A 1 formsc13ga-02122024080219.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* EMCORE CORP (Name of Issuer) Common (Title of Class of Securities) 290846203 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 8, 2024 |
EMCORE Reports Fiscal 2024 First Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2024 First Quarter Results ALHAMBRA, CA, February 8, 2024 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2024 first quarter (1Q24) ended December 31, 2023. Management will host a conference call to discuss 1Q24 financial an |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 8, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Iden |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 3)1 EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846203 (CUSIP Number) BRADLEY L. RADOFF 2727 Kirby Dri |
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| January 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 6, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Numbe |
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| January 26, 2024 |
CONFIDENTIAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitiv |
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| January 26, 2024 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 16, 2024 |
PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 11, 2024 |
EX-99.2 2 ex99213da209076059011124.htm JOINT FILING AGREEMENT Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, no par value, |
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| January 11, 2024 |
Exhibit 99.1 EMCORE Corporation Enters Into Cooperation Agreement with Bradley L. Radoff Appoints Cletus C. Glasener and Jeffrey J. Roncka to its Board of Directors Appoints Cletus C. Glasener as Chairman of the Board Amends and Reconstitutes Strategy and Alternatives Committee ALHAMBRA, CA, January 11, 2024 (GLOBE NEWSWIRE) – EMCORE Corporation (NASDAQ: EMKR) (“EMCORE” or the “Company”), the worl |
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| January 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 6, 2024 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ident |
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| January 11, 2024 |
Letter from KPMG LLP to the U.S. Securities and Exchange Commission, dated January 11, 2024. Exhibit 16.1 KPMG LLP Suite 700 20 Pacifica Irvine, CA 92618-3391 January 11, 2024 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for EMCORE Corporation and subsidiaries (the “Company”) and, under the date of December 27, 2023, we reported on the consolidated financial statements of the Company as of and for the years ended |
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| January 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846203 (CUSIP Number) BRADLEY L. RADOFF 2727 Kirby Dri |
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| January 11, 2024 |
Exhibit 10.1 COOPERATION AGREEMENT This Cooperation Agreement (this “Agreement”) is made and entered into as of January 10, 2024 by and among EMCORE Corporation (the “Company”) and the entities and natural persons set forth in the signature pages hereto (collectively, the “Radoff Parties”) (each of the Company and the Radoff Parties, a “Party” to this Agreement, and collectively, the “Parties”). R |
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| January 11, 2024 |
Exhibit 3.1 BYLAWS OF EMCORE CORPORATION As Amended Through January 10, 2024 Article I OFFICES 1. Principal Place of Business. The principal place of business of EMCORE Corporation (the “Corporation”) is 2015 Chestnut Street, Alhambra, California 91803. 2. Other Places of Business. Branch or subordinate places of business or offices may be established at any time by the Board |
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| December 27, 2023 |
EMCORE Corporation Clawback Policy. Exhibit 97 EMCORE CORPORATION CLAWBACK POLICY 1.Purpose EMCORE Corporation, a New Jersey corporation (the “Company”), has adopted this Clawback Policy (this “Policy”) to comply with Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, as codified by Section 10D of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the Nasdaq Stock Exchange (“ |
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| December 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 EMCORE |
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| December 27, 2023 |
Exhibit 21.1 EMCORE Corporation subsidiaries Name EMCORE Chicago Inertial Corporation, a Delaware corporation EMCORE Space & Navigation Corporation, a Delaware corporation EMCORE Hong Kong, Limited, a Hong Kong corporation Langfang EMCORE Optoelectronics Company, Limited, a Chinese corporation EMCORE Optoelectronics (Beijing) Co., LTD, a Chinese corporation |
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| December 27, 2023 |
EMCORE CORPORATION EXECUTIVE SEVERANCE AND CHANGE IN CONTROL AGREEMENT This Executive Severance and Change in Control Agreement (this “Agreement”), is made and entered into effective as May 17, 2023 (the “Effective Date”), by and between Iain Black (the “Executive”) and EMCORE Corporation, a New Jersey corporation (the “Company”). |
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| December 27, 2023 |
By-Laws of EMCORE Corporation, as amended through November 2, 2022. Exhibit 3(ii).1 BYLAWS OF EMCORE CORPORATION As Amended Through November 2, 2022 Article I OFFICES 1.Principal Place of Business. The principal place of business of EMCORE Corporation (the “Corporation”) is 2015 Chestnut Street, Alhambra, California 91803. 2.Other Places of Business. Branch or subordinate places of business or offices may be established at any time by the Board of Directors of the |
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| December 27, 2023 |
Description of EMCORE Corporation Capital Stock Exhibit 4.2 EMCORE CORPORATION DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following is a summary of the material provisions of our Restated Certificate of Incorporation, as amended (our “Certificate of Incorporation”), and By-Laws, as amended and restated (our “Bylaws”), insofar as they relate to the material terms of our capital stock. T |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 001-36632 FORM 12b-25 CUSIP NUMBER 290846 104 NOTIFICATION OF LATE FILING (Check One): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: September 30, 2023 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ T |
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| December 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 12, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ide |
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| December 12, 2023 |
EMCORE Reports Fiscal 2023 Fourth Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2023 Fourth Quarter Results ALHAMBRA, CA, December 12, 2023 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2023 fourth quarter (4Q23) ended September 30, 2023. Management will host a conference call to discuss 4Q23 financia |
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| December 6, 2023 |
EMKR / Emcore Corp. / Radoff Bradley Louis - AMENDMENT NO. 1 TO THE SCHEDULE 13D Activist Investment SC 13D/A 1 sc13da10907605912052023.htm AMENDMENT NO. 1 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Cla |
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| December 6, 2023 |
EMKR / Emcore Corp. / Radoff Bradley Louis - POWERS OF ATTORNEY Activist Investment begin 644 ex992to13da109076059120523.pdf M)5!$1BTQ+C8-)>+CS],-"C,Q(# @;V)J#3P\+TQI;F5AF4@-CDO5'EP92]84F5F+U=;,2 S(#%=/CYS=')E86T-"FC>8F)D M8!!@8&)@8'H.(AE3P>1?$"EZ \R. Y%L%F"2!TQ> 9-?P.1J$,FZ',SN ).! M8%W!('+*.C ["D@R^EN"V P!(%)!EB\'40RQP#)/]&9B +@&K!\I0C?S/ MP'3O,T" 0 'IA)0#0IE;F1S=')E86T-96YD;V)J#7-T87)T>')E9@T*, T* M)25%3T8-"B @(" @(" @#0HV." P(&]B:@T\/"]#(#$T.2]&:6QT97(O1FQA M=&5$96-O9&4O22 Q- |
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| December 6, 2023 |
JOINT FILING AND SOLICITATION AGREEMENT EX-99.1 2 ex991to13da109076059120523.htm JOINT FILING AND SOLICITATION AGREEMENT Exhibit 99.1 JOINT FILING AND SOLICITATION AGREEMENT WHEREAS, certain of the undersigned are shareholders, direct or beneficial, of EMCORE Corporation, a New Jersey company (the “Company”); and WHEREAS, The Radoff Family Foundation and Bradley L. Radoff (together, “Radoff”), and Cletus C. Glasener and Jeffrey J. Ronck |
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| October 12, 2023 |
Exhibit 2.1 THIS DOCUMENT IS NOT INTENDED TO CREATE NOR WILL IT BE DEEMED TO CREATE A LEGALLY BINDING OR ENFORCEABLE OFFER OR AGREEMENT OF ANY TYPE OR NATURE UNLESS AND UNTIL AGREED TO AND EXECUTED BY ALL PARTIES. ASSET PURCHASE AGREEMENT between EMCORE Corporation, ORTEL LLC and PHOTONICS FOUNDRIES, INC. Dated as of October 11, 2023 TABLE OF CONTENTS ANNEX ANNEX A Excluded Products EXHIBITS EXHIB |
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| October 12, 2023 |
EMCORE Completes Sale of Non-Strategic Product Lines to Photonics Foundries, Inc. Exhibit 99.1 PRESS RELEASE EMCORE Completes Sale of Non-Strategic Product Lines to Photonics Foundries, Inc. ALHAMBRA, CA, October 12, 2023 – (GLOBENEWSIRE) EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, announced today the completion of the sale of Broadband segment product lines and its Defense O |
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| October 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 11, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Iden |
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| September 28, 2023 |
Exhibit 4.1 SECTION 382 TAX BENEFITS PRESERVATION PLAN by and between EMCORE CORPORATION and EQUINITI TRUST COMPANY, LLC, as Rights Agent, Dated as of September 28, 2023 TABLE OF CONTENTS Page Section 1. Definitions 1 Section 2. Appointment of Rights Agent 8 Section 3. Issuance of Right Certificates 9 Section 4. Form of Right Certificates; Notice to Rights Agent as to Acquiring Person 11 Section 5 |
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| September 28, 2023 |
Exhibit 4.1 SECTION 382 TAX BENEFITS PRESERVATION PLAN by and between EMCORE CORPORATION and EQUINITI TRUST COMPANY, LLC, as Rights Agent, Dated as of September 28, 2023 TABLE OF CONTENTS Page Section 1. Definitions 1 Section 2. Appointment of Rights Agent 8 Section 3. Issuance of Right Certificates 9 Section 4. Form of Right Certificates; Notice to Rights Agent as to Acquiring Person 11 Section 5 |
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| September 28, 2023 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES B JUNIOR PARTICIPATING PREFERRED STOCK OF EMCORE CORPORATION (Pursuant to Section 14A:7-2 of the New Jersey Business Corporation Act) The undersigned, Jeffrey Rittichier, the Chief Executive Officer of EMCORE Corporation (the “Corporation”), a corporation organized and existing under the New Jersey Business Corporation Act (the “NJBCA”), does hereby |
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| September 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2023 EMCORE CORPORATION (Exact name of registrant as specified in its charter) New Jersey 001-36632 22-2746503 (State or Other Jurisdiction of Incorporation) (Commission |
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| September 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EMCORE CORPORATION (Exact name of Registrant as specified in its charter) New Jersey (State of Incorporation or Organization) 22-2746503 (I.R.S. Employer Identification No.) 2015 W. Chestnut Street |
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| September 28, 2023 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES B JUNIOR PARTICIPATING PREFERRED STOCK OF EMCORE CORPORATION (Pursuant to Section 14A:7-2 of the New Jersey Business Corporation Act) The undersigned, Jeffrey Rittichier, the Chief Executive Officer of EMCORE Corporation (the “Corporation”), a corporation organized and existing under the New Jersey Business Corporation Act (the “NJBCA”), does hereby |
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| August 25, 2023 |
EMKR / Emcore Corp. / Archon Capital Management LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| August 24, 2023 |
EMKR / Emcore Corp. / Radoff Bradley Louis - THE SCHEDULE 13D Activist Investment SC 13D 1 sc13d09076emkr08242023.htm THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 29084 |
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| August 24, 2023 |
EX-99.1 2 ex991to13d09076emkr08242023.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, no par val |
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| August 17, 2023 |
EMCORE Announces Pricing of $15.8 Million Public Offering Exhibit 99.2 EMCORE Announces Pricing of $15.8 Million Public Offering Alhambra, CA - August 17, 2023 - EMCORE Corporation (Nasdaq: EMKR) today announced the pricing of an underwritten public offering of 19,652,174 shares of its common stock, and, to certain investors, pre-funded warrants to purchase 11,900,000 shares of its common stock. The offering price to the public in the offering was $0.50 |
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| August 17, 2023 |
Exhibit 4.1 Form of Pre-Funded Warrant Warrant Shares: [●] Initial Exercise Date: August [●], 2023 Issue Date: August [●], 2023 This Pre-Funded Warrant to Purchase Common Stock (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after |
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| August 17, 2023 |
EMCORE Announces Proposed Public Offering Exhibit 99.1 EMCORE Announces Proposed Public Offering Alhambra, CA – August 16, 2023 – EMCORE Corporation (Nasdaq: EMKR) today announced that it intends to offer and sell shares of its common stock and, to certain investors, pre-funded warrants to purchase shares of common stock, in an underwritten public offering. The purchase price of each pre-funded warrant will equal the price per share at wh |
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| August 17, 2023 |
TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-256090 PROSPECTUS SUPPLEMENT (To Prospectus dated May 20, 2021) 19,652,174 Shares of Common Stock Pre-Funded Warrants to Purchase up to 11,900,000 Shares of Common Stock We are offering 19,652,174 shares of our common stock and, to certain investors whose purchase of common stock would result in the investor, together with i |
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| August 17, 2023 |
Exhibit 99.3 With respect to our inertial navigation product line, our management estimates that (i) programs currently in production or awarded with leading prime contractors world-wide will result in approximately $605 million of lifetime contract value and (ii) we have identified an additional approximately $300 million of potential new opportunities. Based on industry reports, we believe the e |
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| August 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 16, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ident |
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| August 17, 2023 |
Exhibit 1.1 EXECUTION VERSION EMCORE Corporation 19,652,174 Shares of Common Stock 11,900,000 Pre-Funded Warrants to Purchase Common Stock UNDERWRITING AGREEMENT August 17, 2023 Craig-Hallum Capital Group LLC 222 South Ninth Street, Suite 350 Minneapolis, Minnesota 55402 Ladies and Gentleman: 1. Introductory. EMCORE Corporation, a New Jersey corporation (the “Company”), proposes to sell |
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| August 16, 2023 |
SUBJECT TO COMPLETION, DATED AUGUST 16, 2023 TABLE OF CONTENTS The information in this prospectus supplement is not complete and may be changed. |
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| August 9, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 EMC |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 8, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 8, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| August 8, 2023 |
EMCORE Reports Fiscal 2023 Third Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2023 Third Quarter Results ALHAMBRA, CA, August 8, 2023 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2023 third quarter (3Q23) ended June 30, 2023. Management will host a conference call to discuss 3Q23 financial and busi |
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| June 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 23, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identif |
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| June 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 10, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number |
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| May 26, 2023 |
Exhibit 1.01 - Conflict Minerals Report Exhibit 1.01 EMCORE Corporation Form SD-2022 Conflict Minerals Report Conflict Minerals Disclosure I. Introduction EMCORE Corporation is providing this Conflict Minerals Report (“CMR”) for calendar year 2022, as an Exhibit to Form SD, pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”), as amended. The Rule requires disclosure of certain information when a company manufac |
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| May 26, 2023 |
As filed with the Securities and Exchange Commission on May 26, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 EM |
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| May 10, 2023 |
Exhibit 10.5 EMCORE Corporation 2019 Equity Incentive Plan Performance-Based Restricted Stock Unit Award Agreement To: [] EMCORE Corporation, a New Jersey corporation (the “Company”), has granted you an award (the “Award”) of [] performance-based restricted stock units (the “Restricted Stock Units”) under the EMCORE Corporation 2019 Equity Incentive Plan, as adopted effective December 14, 2018, an |
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| May 4, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 4, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identific |
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| May 4, 2023 |
EMCORE Reports Fiscal 2023 Second Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2023 Second Quarter Results ALHAMBRA, CA, May 4, 2023 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced results for the fiscal 2023 second quarter (2Q23) ended March 31, 2023. Management will host a conference call to discuss 2Q23 financial and busi |
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| April 21, 2023 |
Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 19, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| April 21, 2023 |
EMCORE Announces Restructuring Program Exhibit 99.1 EMCORE Announces Restructuring Program ALHAMBRA, CA, April 21, 2023 – EMCORE Corporation (Nasdaq: EMKR), the world’s largest independent provider of inertial navigation solutions to the aerospace and defense industry, today announced a restructuring program that includes the shutdown of the Broadband business segment and the discontinuance of its defense optoelectronics product line. |
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| March 24, 2023 |
EMKR / Emcore Corp. / Portolan Capital Management, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. )* EMCORE Corporation (Name of Issuer) Common (Title of Class of Securities) 290846203 (CUSIP Number) March 14, 2023 (Date of Event Which Requires Filing of t |
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| March 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 10, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| March 14, 2023 |
Amended and Restated EMCORE Corporation 2019 Equity Incentive Plan. Exhibit 10.1 EMCORE CORPORATION AMENDED AND RESTATED 2019 EQUITY INCENTIVE PLAN 1. PURPOSE OF PLAN The purpose of this EMCORE Corporation Amended and Restated 2019 Equity Incentive Plan (this “Plan”) of EMCORE Corporation, a New Jersey corporation (the “Corporation”), is to promote the success of the Corporation by providing an additional means through the grant of awards to attract, motivate, |
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| March 13, 2023 |
Exhibit 99.7 EMCORE Corporation 2019 Equity Incentive Plan Performance-Based Restricted Stock Unit Award Agreement To: EMCORE Corporation, a New Jersey corporation (the “Company”), has granted you an award (the “Award”) of performance-based restricted stock units (the “Restricted Stock Units”) under the EMCORE Corporation 2019 Equity Incentive Plan, as adopted effective December 14, 2018, and as f |
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| March 13, 2023 |
Exhibit 107 Calculation of Filing Fee Tables S-8 (Form Type) EMCORE Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, no par value per share 457(h), 457(c) 1,549,000 $ 1. |
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| March 13, 2023 |
As filed with the Securities and Exchange Commission on March 13, 2023 As filed with the Securities and Exchange Commission on March 13, 2023 Registration No. |
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| March 13, 2023 |
Exhibit 99.1 EMCORE CORPORATION AMENDED AND RESTATED 2019 EQUITY INCENTIVE PLAN 1. PURPOSE OF PLAN The purpose of this EMCORE Corporation Amended and Restated 2019 Equity Incentive Plan (this “Plan”) of EMCORE Corporation, a New Jersey corporation (the “Corporation”), is to promote the success of the Corporation by providing an additional means through the grant of awards to attract, motivate, ret |
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| February 15, 2023 |
EMCORE Announces Pricing of $17 Million Public Offering of Common Stock Exhibit 99.2 EMCORE Announces Pricing of $17 Million Public Offering of Common Stock Alhambra, CA - February 15, 2023 - EMCORE Corporation (Nasdaq: EMKR) today announced the pricing of a public offering of 15,454,546 shares of its common stock at a price of $1.10 per share. All of the shares in the offering are being sold by EMCORE. The gross proceeds to EMCORE from the offering, before deducting |
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| February 15, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2023 EMCORE CORPORATION (Exact name of registrant as specified in its charter) New Jersey 001-36632 22-2746503 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 15, 2023 |
Exhibit 99.1 February 15, 2023 EMCORE Corporation 2015 West Chestnut Street Alhambra, CA 91803 Attn: Chief Executive Officer Dear Mr. Rittichier: This letter (the “Agreement”) constitutes the agreement between A.G.P./Alliance Global Partners, as placement agent (the “Placement Agent”), and EMCORE Corporation, a company incorporated under the laws of the State of New Jersey (the “Company”), that th |
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| February 15, 2023 |
15,454,546 Shares Common Stock EMCORE Corporation TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-256090 PROSPECTUS SUPPLEMENT (To Prospectus dated May 20, 2021) 15,454,546 Shares Common Stock EMCORE Corporation We are offering 15,454,546 shares of our common stock. Our common stock is listed for trading on the Nasdaq Global Market under the symbol “EMKR.” On February 14, 2023, the last reported sale price of shares of o |
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| February 15, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is dated as of February 15, 2023, between EMCORE Corporation, a New Jersey corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions |
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| February 14, 2023 |
Shares Common Stock EMCORE Corporation TABLE OF CONTENTS Filed pursuant to Rule 424(b)(3) Registration No. 333-256090 The information in this prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities |
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| February 14, 2023 |
EMCORE Announces Proposed Public Offering of Common Stock Exhibit 99.1 EMCORE Announces Proposed Public Offering of Common Stock Alhambra, CA – February 14, 2023 – EMCORE Corporation (“EMCORE”) (Nasdaq: EMKR) today announced that it intends to offer shares of its common stock for sale in a public offering. All of the shares in the offering are being offered by EMCORE. The offering is subject to market and other conditions, and there can be no assurance a |
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| February 14, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 EMCORE CORPORATION (Exact name of registrant as specified in its charter) New Jersey 001-36632 22-2746503 (State or Other Jurisdiction of (Commission File Number) (I |
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| February 13, 2023 |
EMKR / EMCORE Corporation / LYTTON LAURENCE W Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846203 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 10, 2023 |
EMKR / EMCORE Corporation / Neuberger Berman Group LLC - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* EMCORE CORP (Name of Issuer) Common (Title of Class of Securities) 290846203 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 9, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36632 |
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| February 9, 2023 |
EMKR / EMCORE Corporation / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SC 13G 1 tv0809-emcorecorp.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: EMCORE Corp. Title of Class of Securities: Common Stock CUSIP Number: 290846203 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Sch |
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| February 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 8, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Iden |
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| February 8, 2023 |
EMCORE Reports Fiscal 2023 First Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2023 First Quarter Results ALHAMBRA, CA, February 8, 2023 – EMCORE Corporation (Nasdaq: EMKR), a leading provider of advanced mixed-signal products that serve the aerospace and defense, communications, and sensing markets, today announced results for the fiscal 2023 first quarter (1Q23) ended December 31, 2022. Management will host a conference call to discuss 1Q |
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| January 24, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| January 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 20, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| January 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 9, 2023 |
Exhibit 10.1 SEPARATION AND GENERAL RELEASE AGREEMENT This Separation and General Release Agreement (the “Agreement”) is entered into by and between EMCORE Corporation (the “Company”) and Albert Lu (“Employee”) (collectively, the “Parties”). In consideration of the mutual promises and covenants contained in this Agreement, Employee and the Company agree as follows: 1. Effective Date: T |
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| January 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 3, 2023 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ident |
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| December 28, 2022 |
#179157722v4 - Emcore - First Amendment to Credit Agreement FIRST AMENDMENT TO CREDIT AGREEMENT This FIRST AMENDMENT TO CREDIT AGREEMENT, dated as of October 25, 2022 (this ?Amendment?), is entered into among EMCORE CORPORATION, a New Jersey corporation (the ?Company?), the Domestic Subsidiaries of the Company party hereto and listed in the signature pages hereof as ?Borrowers? (the Company, together with such Domestic Subsidiaries each, individually, a ?Borrower? and jointly, severally, and collectively, the ?Borrowers?), the Lenders party hereto and WINGSPIRE CAPITAL LLC, as administrative agent for the Lenders (in such capacity, together with its successors and permitted assigns in such capacity, the ?Administrative Agent?). |
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| December 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36632 EMCORE |
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| December 28, 2022 |
EX-21.1 5 emcoresubsidiaries2022.htm EX-21.1 Exhibit 21.1 EMCORE Corporation subsidiaries* Name EMCORE Chicago Inertial Corporation, a Delaware corporation EMCORE Space & Navigation Corporation, a Delaware corporation EMCORE Hong Kong, Limited, a Hong Kong corporation Langfang EMCORE Optoelectronics Company, Limited, a Chinese corporation EMCORE Optoelectronics (Beijing) Co., LTD, a Chinese corpor |
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| December 28, 2022 |
Exhibit 4.2 EMCORE CORPORATION DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following is a summary of the material provisions of our Restated Certificate of Incorporation, as amended (our ?Certificate of Incorporation?), and By-Laws (our ?Bylaws?), insofar as they relate to the material terms of our capital stock. This summary is qualified |
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| December 28, 2022 |
1 November 10, 2022 CHESTNUT2015 LLC Attn: Ms. Maria Tam Isles 2225 W. Commonwealth Ave., #206 Alhambra, CA 91803 Re: Amendment to Lease Dear Ms. Isles: Reference is hereby made to that certain Standard Industrial/Commercial Single-Tenant Lease ?Net for the premises of 2001 to 2025 W. Chestnut Street, 707 S. Raymond Ave and 708 S. Palm Ave, Alhambra, California, dated as of October 1, 2017 (the ?O |
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| December 20, 2022 |
EMCORE Reports Fiscal 2022 Fourth Quarter Results Exhibit 99.1 EMCORE Reports Fiscal 2022 Fourth Quarter Results ALHAMBRA, CA, December 20, 2022 ? EMCORE Corporation (Nasdaq: EMKR), a leading provider of advanced mixed-signal products that serve the aerospace and defense, communications, and sensing markets, today announced results for the fiscal 2022 fourth quarter (4Q22) ended September 30, 2022. Management will host a conference call to discus |
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| December 20, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 20, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ide |
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| December 15, 2022 |
Exhibit 10.3 LEASE GUARANTY This LEASE GUARANTY (this “Guaranty”) is made as of December 13, 2022, by EMCORE CORPORATION, a New Jersey corporation (“Guarantor”), to and for the benefit of 8400 W 185TH STREET INVESTORS, LLC, a Delaware limited liability company (“Landlord”). RECITALS A. EMCORE Chicago Inertial Corporation, a Delaware corporation (“Tenant”), and Landlord are parties to that certain |
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| December 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 13, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ide |
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| December 15, 2022 |
Exhibit 10.2 SUMMARY OF BASIC LEASE INFORMATION AND DEFINITIONS This SUMMARY OF BASIC LEASE INFORMATION AND DEFINITIONS ("Summary") is hereby incorporated into and made a part of the attached Single-Tenant Triple Net Lease dated as of December 13, 2022, which pertains to the Premises described below. All references in the Lease to the "Lease" shall include this Summary. All references in the Lease |
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| December 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 001-36632 FORM 12b-25 CUSIP NUMBER 290846 104 NOTIFICATION OF LATE FILING (Check One): x Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: September 30, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? T |
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| November 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 20, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Ide |
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| November 3, 2022 |
Exhibit 10.1 PURCHASE AND SALE AGREEMENT between EMCORE CHICAGO INERTIAL CORPORATION, a Delaware corporation, and HSRE FUND VII HOLDING COMPANY, LLC, a Delaware limited liability company November 1, 2022 8412 West 185th Street, Tinley Park, Illinois 4874-2036-1015.v4 THIS PURCHASE AND SALE AGREEMENT (this ?Agreement?) is made and entered into this 1st day of November, 2022 (the ?Effective Date?), |
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| November 3, 2022 |
Form of Single-Tenant Triple Net Lease. Exhibit 10.2 SUMMARY OF BASIC LEASE INFORMATION AND DEFINITIONS This SUMMARY OF BASIC LEASE INFORMATION AND DEFINITIONS ("Summary") is hereby incorporated into and made a part of the attached Single-Tenant Triple Net Lease dated as of [] [], 2022, which pertains to the Premises described below. All references in the Lease to the "Lease" shall include this Summary. All references in the Lease to an |
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| November 3, 2022 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 1, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Iden |
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| November 3, 2022 |
Exhibit 10.3 LEASE GUARANTY This LEASE GUARANTY (this ?Guaranty?) is made as of , 2022, by EMCORE CORPORATION, a New Jersey corporation (?Guarantor?), to and for the benefit of (?Landlord?). RECITALS A. EMCORE Chicago Inertial Corporation, a Delaware corporation (?Tenant?), and Landlord are parties to that certain Single-Tenant Triple Net Lease dated as of even date herewith (as may be amended fro |
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| November 2, 2022 |
EMCORE Amended and Restated Bylaws, effective November 2, 2022. Item 3.1 BYLAWS OF EMCORE CORPORATION As Amended Through November 2, 2022 Article I OFFICES 1.Principal Place of Business. The principal place of business of EMCORE Corporation (the ?Corporation?) is 2015 Chestnut Street, Alhambra, California 91803. 2.Other Places of Business. Branch or subordinate places of business or offices may be established at any time by the Board of Directors of the Corpor |
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| November 2, 2022 |
BY-LAWSBYLAWS OF EMCORE CORPORATION As Amended Through January 11November 2, 20212022 ARTICLE I OFFICES 1. |
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| November 2, 2022 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 2, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Iden |
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| October 25, 2022 |
Exhibit 99.1 KVH Inertial Navigation Segment Financial Statements For the years ended December 31, 2021 and 2020 and the six months ended June 30, 2022 (unaudited) and 2021 (unaudited) 1 2 3 KVH INERTIAL NAVIGATION SEGMENT BALANCE SHEETS (in thousands) 4 KVH INERTIAL NAVIGATION SEGMENT STATEMENTS OF OPERATIONS AND CHANGES IN NET PARENT INVESTMENT (in thousands) 5 KVH INERTIAL NAVIGATION SEGMENT ST |
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| October 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 9, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number I |
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| October 25, 2022 |
EMCORE Corporation Unaudited Pro Forma Condensed Combined Financial Information Exhibit 99.2 EMCORE Corporation Unaudited Pro Forma Condensed Combined Financial Information On August 9, 2022, EMCORE Corporation (the terms ?EMCORE?, ?we?, ?us?, and ?our? mean EMCORE Corporation and its subsidiaries unless the context indicates otherwise) entered into an Asset Purchase Agreement (the ?Purchase Agreement?), by and among EMCORE, Delta Acquisition Sub, Inc., a Delaware corporation |
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| August 12, 2022 |
EMKR / EMCORE Corporation / CANNELL CAPITAL LLC - SCHEDULE 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5 ) EMCORE Corporation (Name of Issuer) Common Stock with no par value (Title of Class of Securities) 290846203 (CUSIP Number) J. Carlo Cannell Cannell Capital LLC 245 Meriwether Circle Alta, WY 83414 (307) 733-2284 (Name, Address and Telephone Number of Person to Receive |
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| August 10, 2022 |
Exhibit 107 Calculation of Filing Fee Tables S-8 (Form Type) EMCORE Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, no par value per share 457(h), 457(c) 380,000 $ 3. |
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| August 10, 2022 |
Exhibit 99.1 EMCORE CORPORATION 2022 New Employee Inducement Plan 1. PURPOSE OF PLAN The purposes of this EMCORE Corporation 2022 New Employee Inducement Plan (this ?Plan?) of EMCORE Corporation, a New Jersey corporation (the ?Corporation?), are to (a) to attract and retain the services of persons not previously an employee of the Corporation or any of its Subsidiaries, or following a bona fide pe |
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| August 10, 2022 |
Exhibit 99.2 EMCORE Corporation 2022 New Employee Inducement Plan Restricted Stock Unit Award Agreement To: [] EMCORE Corporation, a New Jersey corporation (the ?Corporation?), has granted you an award (the ?Award?) of [] restricted stock units (the ?Restricted Stock Units?) under the EMCORE Corporation 2022 New Employee Inducement Plan, as adopted effective August 8, 2022, and as further amended |
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| August 10, 2022 |
As filed with the Securities and Exchange Commission on August 9, 2022 As filed with the Securities and Exchange Commission on August 9, 2022 Registration No. |
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| August 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 9, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| August 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 9, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identi |
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| August 9, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36632 EMCO |
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| August 9, 2022 |
Exhibit 99.1 EMCORE Reports Fiscal 2022 Third Quarter Results and Announces the Acquisition of the KVH FOG and Inertial Navigation Systems Business ALHAMBRA, CA, August 9, 2022 ? EMCORE Corporation (Nasdaq: EMKR), a leading provider of advanced mixed-signal products that serve the aerospace and defense, communications, and sensing markets, today announced results for the fiscal 2022 third quarter |
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| August 9, 2022 |
Exhibit 10.1 CREDIT AGREEMENT dated as of August 9, 2022 among EMCORE CORPORATION, and CERTAIN OF ITS DOMESTIC SUBSIDIARIES, as Borrowers, THE LENDERS PARTY HERETO, and WINGSPIRE CAPITAL LLC, as Administrative Agent TABLE OF CONTENTS Page Article 1 Definitions and Rules of Construction 1 Section 1.1 Definitions 1 Section 1.2 Terms Generally 41 Section 1.3 Accounting Terms; GAAP 42 Section 1.4 Roun |
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| August 9, 2022 |
EX-1.1 2 tm2222922d1ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 ASSET PURCHASE AGREEMENT BY AND BETWEEN KVH INDUSTRIES, INC., EMCORE CORPORATION, AND Delta Acquisition Sub, Inc. August 9, 2022 Table of Contents Page 1. Definitions 1 2. Purchase and Sale 10 2.1 Purchase and Sale of the Assets 10 2.2 Excluded Assets 12 2.3 Closing 12 2.4 Liabilities of Seller 12 2.5 Deducted Liabilities and Closing Working Ca |
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| August 5, 2022 |
CANNELL CAPITAL LLC 245 Meriwether Circle Alta, WY 83414 Tel (307) 733-2284 Fax (307) 264-0600 info@cannellcap. |
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| August 5, 2022 |
EMKR / EMCORE Corporation / CANNELL CAPITAL LLC - FORM SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) EMCORE Corporation (Name of Issuer) Common Stock with no par value (Title of Class of Securities) 290846203 (CUSIP Number) J. Carlo Cannell Cannell Capital LLC 245 Meriwether Circle Alta, WY 83414 (307) 733-2284 (Name, Address and Telephone Number of Pers |
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| August 5, 2022 |
July 1 letter from EMCORE Corporation to Cannell Capital LLC. |
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| July 27, 2022 |
EMKR / EMCORE Corporation / CANNELL CAPITAL LLC - SCHEDULE 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3 ) EMCORE Corporation (Name of Issuer) Common Stock with no par value (Title of Class of Securities) 290846203 (CUSIP Number) J. Carlo Cannell Cannell Capital LLC 245 Meriwether Circle Alta, WY 83414 (307) 733-2284 (Name, Address and Telephone Number of Person to Receive |
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| June 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 9, 2022 Date of Report (Date of earliest event reported) EMCORE CORPORATION Exact Name of Registrant as Specified in its Charter New Jersey 001-36632 22-2746503 State of Incorporation Commission File Number IRS Employer Identifi |
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| June 15, 2022 |
EMKR / EMCORE Corporation / CANNELL CAPITAL LLC - FORM SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) EMCORE Corporation (Name of Issuer) Common Stock with no par value (Title of Class of Securities) 290846203 (CUSIP Number) J. Carlo Cannell Cannell Capital LLC 245 Meriwether Circle Alta, WY 83414 (307) 733-2284 (Name, Address and Telephone Number of Pers |
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| June 15, 2022 |
EMCORE CORPORATION SHORT-TERM INCENTIVE PLAN (Effective as of June 9, 2022) This EMCORE Corporation Short Term Incentive Plan (this ?Plan?) sets forth the terms of certain cash bonus opportunities for eligible employees of EMCORE Corporation (the ?Corporation?). |
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| May 26, 2022 |
As filed with the Securities and Exchange Commission on May 26, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 23, 2022 |
EMKR / EMCORE Corporation / LYTTON LAURENCE W Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* EMCORE Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 290846203 (CUSIP Number) May 11, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| May 6, 2022 |
Exhibit 107 Calculation of Filing Fee Tables S-8 (Form Type) EMCORE Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, no par value per share 457(h), 457(c) 1,900,000 $ 3. |
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| May 6, 2022 |
As filed with the Securities and Exchange Commission on May 6, 2022 As filed with the Securities and Exchange Commission on May 6, 2022 Registration No. |
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| May 5, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36632 EMC |
