AWM Investment Company, Inc. - Feb 15, 2023 Form 3 Insider Report for EMCORE CORP (EMKR)

Role
10%+ Owner
Signature
Adam Stettner
Stock symbol
EMKR
Transactions as of
Feb 15, 2023
Transactions value $
$0
Form type
3
Date filed
2/22/2023, 12:55 PM
Previous filing
Feb 6, 2023
Next filing
Feb 22, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding EMKR Common Stock 6.54M Feb 15, 2023 By Limited Partnerships F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, L.P. (SSPE), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (T2 and together with SSFQP, Cay, SSPE and Tech the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 2,837,143 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 736,984 Shares held by Cay, 609,074 Shares held by SSPE, 362,583 Shares held by Tech and 1,994,204 Shares held by T2.
F2 David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.