Jeffrey Rittichier - Dec 28, 2021 Form 4 Insider Report for EMCORE CORP (EMKR)

Role: Chief Executive Officer, Director
Signature: /s/ Ryan Hochgesang, attorney in fact
Stock symbol: EMKR
Transactions as of: Dec 28, 2021
Transactions value $: -$38,208
Form type: 4
Date filed: 12/29/2021, 03:22 PM
Previous filing: Aug 16, 2021
Next filing: Mar 15, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	EMKR	Common Stock	Options Exercise		+10K	+2.6%		395K	Dec 28, 2021	Direct	F1
transaction	EMKR	Common Stock	Tax liability	-$38.2K	-5.44K	-1.38%	$7.03^*	389K	Dec 28, 2021	Direct	F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	EMKR	Restricted Stock Units (RSUs)	Options Exercise		-10K	-100%		0	Dec 28, 2021	Emcore Common Stock	10K		Direct	F1, F3, F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The restricted stock units were awarded to the Reporting Person for no cash or other similar consideration.
F2	Represents the number of shares required to be withheld in accordance with Rule 16b-3 to cover the Reporting Person's tax withholding obligations in connection with the vesting of the restricted stock units reported herein.
F3	Each restricted stock unit represented a contingent right to receive one share of Emcore common stock.
F4	On December 28, 2017, the reporting person was granted 40,000 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date