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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Title
of each class of
securities
to be registered
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Amount
to be
registered
(1)(2)
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Proposed
maximum
offering
price per
share
(3)
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Proposed
maximum
aggregate
offering
price
(3)
|
Amount
of
registration
fee(3)
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Common
Stock, no par value
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6,500,000
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$1.35
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$8,775,000
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$489.65
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(1)
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Plus
an indeterminate number of additional shares of Common Stock that may be
offered and issued pursuant to stock dividends, stock splits, or similar
transactions.
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(2)
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This
registration statement is being filed for purposes of registering
6,500,000 additional shares of Common Stock of EMCORE Corporation,
issuable pursuant to our 2000 Stock Option Plan, as amended and restated
(the “Plan”). We have previously registered an aggregate 9,350,000
shares pursuant to a registration statements on Form S-8 (File Nos.
333-37306, 333-60816, 333-118076, and 333-132317) under the Plan.
The registration fee for the previously registered shares was paid at the
time that the previous registration statement was filed.
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(3)
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Estimated
pursuant to Rule 457(h) 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 National Market on June 26,
2009.
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(a)
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The
Registrant’s Annual Report on Form 10-K for the year ended September 30,
2008;
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(b)
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The
Registrant’s Quarterly Report on Form 10-Q for the quarter ended December
31, 2008;
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(c)
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The
Registrant’s Quarterly Report on Form 10-Q for the quarter ended March 31,
2009;
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(d)
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All
Current Reports filed by the Registrant pursuant to Section 13(a) or 15(d)
of the Exchange Act since September 30, 2008;
and
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(e)
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The
description of the Registrant’s Common Stock contained in the Registrant’
registration statement on Form 8-A filed with the Commission on February
26, 1997, including any amendments thereto or reports filed for the
purpose of updating such
description.
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4.1
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2000
Stock Option Plan, as amended and restated on April 30, 2009 (incorporated
by reference to Exhibit 10.1 of the Registrant’s Current Report on Form
8-K filed on May 6, 2009.
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4.2
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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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4.3
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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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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 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/ Keith J. Kosco
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Keith
J. Kosco, Esq.
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Chief
Legal Officer and Secretary
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Signature
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Title
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/s/ Thomas J. Russell
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Chairman Emeritus and Lead Director
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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
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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/ John M.
Markovich
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Chief Financial Officer (Principal Financial and Accounting
Officer)
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John
M. Markovich
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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 Bogomolny
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Director
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Robert
Bogomolny
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4.1
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2000
Stock Option Plan, as amended and restated on April 30, 2009 (incorporated
by reference to Exhibit 10.1 of the Registrant’s Current Report on Form
8-K filed on May 6, 2009.
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4.2
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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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4.3
|
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
|
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 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).*
|