UNDER
THE SECURITIES ACT OF 1933
(Exact Name of Registrant as Specified in Its Charter)
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New Jersey
(State or other jurisdiction of
incorporation or organization) |
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22-2746503
(I.R.S. Employer
Identification Number) |
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Budd Lake, NJ 07828
(626) 293-3400
Chief Financial Officer
EMCORE Corporation
450 Clark Drive
Budd Lake, NJ 07828
(626) 293-3400
Julie Park
Pillsbury Winthrop Shaw Pittman LLP
2550 Hanover Street
Palo Alto, CA 94304-1115
Telephone: (650) 233-4500
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Large accelerated filer ☐
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Accelerated filer ☒
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Non-accelerated filer ☐
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Smaller reporting company ☒
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Emerging growth company ☐
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Page
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Name of Selling Stockholder
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Number of Shares
Beneficially Owned Prior to Offering(1) |
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Number of
Shares Being Offered(2) |
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Shares Beneficially
Owned After Offering |
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Number(3)
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Percent
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HCP-FVU, LLC(4)
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| | | | 1,810,528 | | | | | | 1,810,528 | | | | | | 0 | | | | | | — | | |
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SEC registration fee
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| | | $ | 315.34 | | |
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Legal fees and expenses
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| | | | 20,000.00 | | |
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Accounting fees and expenses
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| | | | 30,000.00 | | |
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Printing and miscellaneous fees and expenses
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| | | | 9,684.66 | | |
| | | | | $ | 60,000.00 | | |
Exhibit No.
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Description
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4.1
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4.2
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5.1
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10.1
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| | Forbearance Agreement and Second Amendment to Credit Agreement (incorporate by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K filed on May 2, 2024). | |
23.1
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23.2
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24.1
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107
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Interim Chief Executive Officer
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Signature
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Title
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Date
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/s/ Matthew Vargas
Matthew Vargas
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Interim Chief Executive Officer (Principal
Executive Officer) and Director |
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July 31, 2024
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/s/ Thomas P. Minichiello
Thomas P. Minichiello
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Chief Financial Officer
(Principal Financial Officer and Accounting Officer)
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July 31, 2024
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/s/ Cletus C. Glasener
Cletus C. Glasener
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| | Chair of the Board and Director | | |
July 31, 2024
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/s/ Bruce E. Grooms
Bruce E. Grooms
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| | Director | | |
July 31, 2024
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/s/ David Rogers
David Rogers
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| | Director | | |
July 31, 2024
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/s/ Jeffrey J. Roncka
Jeffrey J. Roncka
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| | Director | | |
July 31, 2024
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