|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144/A NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. |
OMB APPROVAL
|
|||||
| OMB Number: 3235-0101 Expires: December 31, 2006 Estimated average burden hours per response..........4.47 |
||||||
|
SEC USE ONLY
|
||||||
| DOCUMENT
SEQUENCE
NO. |
||||||
| CUSIP
NUMBER |
||||||
|
1 (a) NAME
OF ISSUER (Please type or
print)
EMCORE
Corporation
|
(b) I.R.S. IDENT. NO.
22-2746503
|
(c) S.E.C. FILE NO.
000-22175
|
WORK
LOCATION |
|||
|
1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP
CODE
145 Belmont Drive Somerset NJ 08873 |
(e) TELEPHONE NO. | |||||
|
AREA CODE
732
|
NUMBER
271-9090
|
|||||
|
2 (a) PERSON FOR WHOSE ACCOUNT THE SECURITIES
ARE TO BE SOLD Howard
Brodie
|
(b) I.R.S. IDENT. NO.
--
|
(c) RELATIONSHIP
TO
ISSUER Officer
|
(d) ADDRESS STREET CITY STATE ZIP
CODE
145
Belmont Drive, Somerset, NJ
08873
|
|||
| INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number |
| 3(a) Title of the
Class of Securities To Be Sold |
(b) Name
and
Address of Each Broker Through Whom the Securities are to be Offered
to
Each Market Maker who is Acquiring the Securities
|
SEC USE ONLY | (c) Number of shares
or Other Units To Be Sold (See instr.3(c)) |
(d) Aggregate
Market Value (See instr.3(d)) |
(e) Number of Shares
or Other Units Outstanding (See instr.3(e)) |
(f) Approximate
Date of Sale (See instr.3(f)) (MO. DAY YR.) |
(g) Name
of
Each
Securities Exchange (See instr.3(g)) |
| Broker-Dealer File Number |
|||||||
|
Common
|
E-Trade
|
|
40,000
|
$322,000
|
~49.3m
|
3/2/06
|
|
| INSTRUCTIONS: |
| 1. | (a) | Name of issuer. | 3. | (a) | Title of the class of securities to be sold |
| (b) | Issuer's IRS Identification Number. | (b) | Name and address of each broker through whom the securities are intended to be sold. | ||
| (c) | Issuer's SEC file number, if any. | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount). | ||
| (d) | Issuer's address, including zip code. | (d) | Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing | ||
| (e) | Issuer's telephone number, including area code. | (e) | Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer. | ||
| 2. | (a) | Name of person for whose account the securities are to be sold. | (f) | Approximate date on which the securities are to be sold. | |
| (b) | Such person's I.R.S. Identification number, if such person is an entity. | (g) | Name of each securities exchange, if any, on which the securities are intended to be sold. | ||
| (c) | Such person's relationship to the issuer (e.g., officer, director, 10 percent stockholder, or member of immediate family of any of the foregoing). | Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
|||
| (d) | Such person's address, including zip code. | ||||
|
TABLE
I--SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the Payment of all or any part of the purchase price or other consideration therefor: |
|
Title
of
the Class |
Date
You Acquired
|
Nature
of Acquisition Transaction
|
Name
of Person From Whom Acquired
(If Gift, Also Give Date Donor Acquired) |
Amount
of Securities Acquired
|
Date
of Payment
|
Nature
of Payment
|
|
Common
|
Stock
Option Exercise
40,000
shares @ $6.68
|
Company
|
40,000
|
Cashless
exercise /
Same-day
transaction
|
| INSTRUCTIONS: |
1. |
If
the securities were purchased and full payment therefore was not
made in cash at the time of purchase, explain in the table or in
a note
thereto the nature of the consideration given. If the consideration
consisted of any note or other obligation, or if payment was made
in
installments describe the arrangement and state when the note or
other
obligation was discharged in full or the last installment
paid.
|
2. |
If
within two years after the acquisition of the securities the
person for whose account they are to be sold had any short positions,
put
or other option to dispose of securities referred to in paragraph
(d)(3)
of Rule 144, furnish full information with respect
thereto.
|
|||||
|
TABLE
II--SECURITIES SOLD DURING THE PAST THREE
MONTHS
Furnish The Following Information as to All Securities of The Issuer Sold During The Past Three Months By The Person For Whose Account The Securities Are To Be Sold. |
|
Name
and Address of Seller
|
Title
of Securities To Be Sold.
|
Date
of Sale
|
Amount
of
Securities Sold |
Gross
Proceeds
|
||
|
Howard
Brodie
145
Belmont Drive, Somerset, NJ
08873
|
Common
|
|
3,756
|
$27,521
|
||
| REMARKS: |
||||||
| INSTRUCTIONS:
See
the definition of "person" in paragraph (a) of Rule 144.
Information is to be given not only as to the person for whose account
the
securities are to be sold but also as to all other persons included
in
that definition. In addition, information shall be given as to sales
by
all persons whose sales are required by paragraph (e) of Rule 144
to be
aggregated with sales for the account of the person filing this
notice.
|
ATTENTION:
The
person for whose account the securities to which this notice
relates are to be sold hereby represents by signing this notice that
he
does not know any material adverse information in regard to the current
and prospective operations of the issuer of the securities to be
sold
which has not been publicly disclosed.
|
|||||
|
March 2, 2006 (Revised March 6, 2006) |
/s/ Howard Brodie |
|||||
|
DATE
OF NOTICE
|
(SIGNATURE)
|
|||||
|
The
notice shall be signed by the persons for whose account the
securities are to be sold. At least one copy of the notice shall
be
manually signed.
Any copies not manually signed shall bear typed or printed signatures. |
||||||
|
ATTENTION:
INTERNATIONAL MISSTATEMENTS OR OMISSION OF FACTS
CONSTITUTE FEDERAL CRIMINAL VIOLATIONS
(SEE 18 U.S.C. 1001). |