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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/13/21 Emcore Corp. S-3 5:1M Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: S-3 Registration Statement - Securities for a HTML 207K Transaction 2: EX-4.3 Instrument Defining the Rights of Security Holders HTML 207K 3: EX-4.4 Instrument Defining the Rights of Security Holders HTML 200K 4: EX-5.1 Opinion of Counsel re: Legality HTML 21K 5: EX-23.1 Consent of Expert or Counsel HTML 5K
tm2116017-1_s3 - none - 4.7285531s |
|
New Jersey
(State or other jurisdiction of
incorporation or organization) |
| |
22-2746503
(I.R.S. Employer
Identification Number) |
|
| Large accelerated filer ☐ | | | Accelerated filer ☐ | | | Non-accelerated filer ☒ | | |
Smaller reporting company ☒
Emerging growth company ☐ |
|
| | ||||||||||||||||||||
Title of Each Class of Securities
to be Registered |
| | |
Proposed
Maximum Aggregate Offering Price(1)(2)(3) |
| | |
Amount of
Registration Fee(4) |
| | | ||||||||||
Common Stock, no par value per share
|
| | | | | | | | | | | | | | | | | ||||
Preferred Stock, par value $0.0001 per share
|
| | | | | | | | | | | | | | | | | ||||
Debt Securities
|
| | | | | | | | | | | | | | | | | ||||
Warrants
|
| | | | | | | | | | | | | | | | | ||||
Rights
|
| | | | | | | | | | | | | | | | | ||||
Units
|
| | | | | | | | | | | | | | | | | ||||
Offering Total
|
| | | | $ | 150,000,000 | | | | | | $ | 16,365 | | | | |
| | | | | 1 | | | |
| | | | | 1 | | | |
| | | | | 2 | | | |
| | | | | 3 | | | |
| | | | | 5 | | | |
| | | | | 6 | | | |
| | | | | 7 | | | |
| | | | | 8 | | | |
| | | | | 11 | | | |
| | | | | 19 | | | |
| | | | | 21 | | | |
| | | | | 22 | | | |
| | | | | 23 | | | |
| | | | | 25 | | | |
| | | | | 25 | | |
|
SEC registration fee
|
| | | $ | 16,365 | | |
|
FINRA filing fee
|
| | | | * | | |
|
Trustee’s fees and expenses
|
| | | | * | | |
|
Transfer agent and registrar fees
|
| | | | * | | |
|
Printing expenses
|
| | | | * | | |
|
Accounting fees and expenses
|
| | | | * | | |
|
Rating agency fees
|
| | | | * | | |
|
Legal fees and expenses
|
| | | | * | | |
|
Miscellaneous expenses
|
| | | | * | | |
|
Total
|
| | | $ | 16,365 | | |
|
Exhibit
Number |
| |
Description
|
|
| 1.1* | | | Form of Underwriting Agreement | |
| 4.1 | | | | |
| 4.2* | | | Form of Certificate of Designation, Preferences and Rights for Preferred Stock (including form of preferred stock certificate) | |
| 4.3+ | | | | |
| 4.4+ | | | | |
| 4.5* | | | Form of Global Note for Senior Debt Securities | |
| 4.6* | | | Form of Global Note for Subordinated Debt Securities | |
| 4.7* | | | Form of Warrant Agreement and Warrant Certificate | |
| 4.8* | | | Form of Rights Agreement | |
| 4.9* | | | Form of Unit Agreement and Unit Certificate | |
| 5.1+ | | | | |
| 23.1+ | | | | |
| 23.2+ | | | | |
| 24.1+ | | | | |
| 25.1** | | | Form T-1 Statement of Eligibility and Qualification of Trustee under the Senior Indenture under the Trust Indenture Act of 1939, as amended | |
| 25.2** | | | Form T-1 Statement of Eligibility and Qualification of Trustee under the Subordinated Indenture under the Trust Indenture Act of 1939, as amended | |
| | | | EMCORE CORPORATION | |
| | | |
By:
Jeffrey Rittichier
Chief Executive Officer and President |
|
|
Signature
|
| |
Title
|
| |
Date
|
|
|
|
| |
Chief Executive Officer, President and Director
(Principal Executive Officer) |
| | | |
|
|
| |
Chief Financial Officer
(Principal Financial and Accounting Officer) |
| | | |
|
|
| | Chairman of the Board | | | | |
|
/s/ Bruce E. Grooms
|
| | Director | | | | |
|
/s/ Noel Heiks
|
| | Director | | | | |
|
/s/ Rex S. Jackson
|
| | Director | | | |
This ‘S-3’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 5/13/21 | 8-K | ||
5/12/21 | 8-K, DEF 14A, PRE 14A | |||
3/31/21 | 10-Q, 4 | |||
2/10/21 | 424B3, 8-K, S-3MEF, SC 13G | |||
9/30/20 | 10-K | |||
8/4/20 | ||||
1/27/20 | EFFECT | |||
9/30/19 | 10-K | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/13/21 Emcore Corp. 8-K:5,9 5/12/21 11:225K Toppan Merrill/FA 5/07/21 Emcore Corp. 10-Q 3/31/21 63:5.3M 3/23/21 Emcore Corp. 8-K:5,9 3/19/21 11:359K Toppan Merrill/FA 2/11/21 Emcore Corp. 8-K:8,9 2/10/21 13:617K Toppan Merrill/FA 2/10/21 Emcore Corp. 8-K:8,9 2/10/21 12:699K Toppan Merrill/FA 2/05/21 Emcore Corp. 10-Q 12/31/20 62:4.5M Toppan Merrill Bridge/FA 1/13/21 Emcore Corp. 8-K:5,9 1/11/21 11:374K Toppan Merrill/FA 12/16/20 Emcore Corp. 8-K:5,9 12/10/20 11:245K Toppan Merrill/FA 12/08/20 Emcore Corp. 10-K 9/30/20 103:12M Toppan Merrill Bridge/FA 12/06/17 Emcore Corp. 10-K 9/30/17 95:19M 2/26/97 Emcore Corp. 8-A12G 1:4K White & Case LLP/FA |