New Jersey
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22-2746503
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(State or Other Jurisdiction of Incorporation or Organization)
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(I.R.S. Employer Identification No.)
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10420 Research Road SE
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Albuquerque, New Mexico
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87123
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(Address of Principal Executive Offices)
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(Zip Code)
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o Large accelerated filer
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x Accelerated filer
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o Non-accelerated filer
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o Smaller reporting company
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Title of each class of
securities to be registered
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Amount to be
registered (1)
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Proposed maximum
offering price per
share (2)
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Proposed maximum
aggregate offering
price (2)
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Amount of
registration fee(2)
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||||||||||||
Common Stock, no par value
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||||||||||||||||
2010 Equity Incentive Plan
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3,000,000 | $ | 2.82 | $ | 8,460,000 | $ |
982.21
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|||||||||
2007 Directors’ Stock Award Plan
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N/A | N/A | $ | 750,000 | $ |
87.08
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||||||||||
2000 Employee Stock Purchase Plan
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2,500,000 | $ | 2.40 | (3) | $ | 6,000,000 | $ |
696.60
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(1)
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Pursuant to Rule 416(a) under the Securities Act of 1933, as amended, this Registration Statement also covers an indeterminate number of shares that may be offered or issued to prevent dilution as a result of stock splits, stock dividends, or similar transactions.
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(2)
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Estimated pursuant to paragraphs (c) and (h) of Rule 457 of the General Rules and Regulations under the Securities Act of 1933, as amended (the “Securities Act”), for the purpose of computing the registration fee, based on the average of the high and low sales price on The NASDAQ Global Market on July 19, 2011.
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(3)
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The proposed maximum offering price per share of $2.40 was determined by discounting the offering price per share (as computed in note two above) by 15% in accordance with the terms of the ESPP.
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Exhibit No .
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Exhibit Description
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4.1
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2010 Equity Incentive Plan (incorporated by reference to Appendix B of Registrant’s Proxy Statement filed on April 9, 2010).
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4.2
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2007 Directors’ Stock Award Plan (incorporated by reference to Exhibit 99.1 of Registrant’s Form S-8 filed on June 5, 2009).
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4.3
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2000 Employee Stock Purchase Plan (incorporated by reference to Appendix C of Registrant’s Proxy Statement filed on April 9, 2010).
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4.4
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Restated Certificate of Incorporation, dated April 4, 2008 (incorporated by reference to Exhibit 3.1 to Registrant's Current Report on Form 8-K filed on April 4, 2008).
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4.5
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Amended By-Laws, as amended through August 7, 2008 (incorporated by reference to Exhibit 3.1 to Registrant’s Current Report on Form 8-K filed on August 13, 2008).
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5.1
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Legal Opinion of Dillon, Bitar & Luther, L.L.C.*
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23.1
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Consent of Dillon, Bitar & Luther, L.L.C. (included in its opinion filed as Exhibit 5.1 in this Registration Statement).*
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23.2
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Consent of KPMG LLP*
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23.3
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Consent of Deloitte & Touche LLP.*
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24.1
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Powers of Attorney (included on the signature pages to this Registration Statement).*
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EMCORE CORPORATION
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By:
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/s/ Mark B. Weinswig
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Mark B. Weinswig
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Chief Financial Officer
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Signature
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Title
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/s/ Thomas J. Russell, Ph.D
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Chairman Emeritus
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Thomas J. Russell, Ph.D
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/s/ Reuben F. Richards, Jr.
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Executive Chairman & Chairman of the Board
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Reuben F. Richards, Jr.
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/s/ Hong Q. Hou, Ph.D.
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Chief Executive Officer and Director (Principal Executive Officer)
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Hong Q. Hou, Ph.D
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/s/ Mark B. Weinswig
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Chief Financial Officer (Principal Financial and Accounting Officer)
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Mark B. Weinswig
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/s/ Charles T. Scott
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Director
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Charles T. Scott
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/s/ John Gillen
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Director
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John Gillen
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/s/ Robert L. Bogomolny
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Lead Independent Director
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Robert L. Bogomolny
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/s/ Sherman McCorkle
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Director
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Sherman McCorkle
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/s/ James A. Tegnelia
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Director
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James A. Tegnelia
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Exhibit No.
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Exhibit Description
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4.1
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2010 Equity Incentive Plan (incorporated by reference to Appendix B of Registrant’s Proxy Statement filed on April 9, 2010).
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4.2
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2007 Directors’ Stock Award Plan (incorporated by reference to Exhibit 99.1 of Registrant’s Form S-8 filed on June 5, 2009).
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4.3
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2000 Employee Stock Purchase Plan (incorporated by reference to Appendix C of Registrant’s Proxy Statement filed on April 9, 2010).
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4.4
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Restated Certificate of Incorporation, dated April 4, 2008 (incorporated by reference to Exhibit 3.1 to Registrant's Current Report on Form 8-K filed on April 4, 2008).
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4.5
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Amended By-Laws, as amended through August 7, 2008 (incorporated by reference to Exhibit 3.1 to Registrant’s Current Report on Form 8-K filed on August 13, 2008).
|
Legal Opinion of Dillon, Bitar & Luther, L.L.C.*
|
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23.1
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Consent of Dillon, Bitar & Luther, L.L.C. (included in its opinion filed as Exhibit 5.1 in this Registration Statement).*
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Consent of KPMG LLP*
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Consent of Deloitte & Touche LLP.*
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24.1
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Powers of Attorney (included on the signature pages to this Registration Statement).*
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