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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/13/21 Emcore Corp. 8-K:5,9 1/11/21 11:374K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 27K 2: EX-3.1 Articles of Incorporation/Organization or Bylaws HTML 98K 7: R1 Cover HTML 47K 9: XML IDEA XML File -- Filing Summary XML 12K 6: XML XBRL Instance -- tm213006d1_8k_htm XML 15K 8: EXCEL IDEA Workbook of Financial Reports XLSX 6K 4: EX-101.LAB XBRL Labels -- emkr-20210111_lab XML 96K 5: EX-101.PRE XBRL Presentations -- emkr-20210111_pre XML 64K 3: EX-101.SCH XBRL Schema -- emkr-20210111 XSD 12K 10: JSON XBRL Instance as JSON Data -- MetaLinks 25± 33K 11: ZIP XBRL Zipped Folder -- 0001104659-21-003863-xbrl Zip 42K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported)
Exact Name of Registrant as Specified in its Charter
| i New Jersey | i 001-36632 | 22-2746503 | ||
| State of Incorporation | Commission File Number | IRS Employer Identification Number |
i 2015 W. Chestnut Street, i Alhambra, i CA i 91803
Address of principal executive offices, including zip code
Registrant’s telephone number, including area code
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
i ¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
i ¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
i ¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
i ¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
| Title of Each Class | Trading symbol(s) | Name of Each Exchange on Which Registered |
| i Common stock, no par value | i EMKR | The i Nasdaq Stock Market LLC (Nasdaq Global Market) |
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company i ¨
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
| Item 5.03 | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
On January 11, 2021, the Board of Directors of EMCORE Corporation (the “Company”) approved and adopted amended and restated By-Laws of the Company (the “Amended By-Laws”). The Amended By-Laws amended the By-Laws of the Company previously in effect to provide that, unless the Company consents in writing to the selection of an alternative forum, the federal district courts of the United States shall be the exclusive forum for the resolution of any complaint asserting a cause of action under the Securities Act of 1933.
The foregoing summary of the Amended By-Laws is qualified in its entirety by reference to the full text of the Amended By-Laws, which is attached hereto as Exhibit 3.1 and is incorporated herein by reference
| Item 9.01 | Financial Statements and Exhibits. |
| (d) | Exhibits |
| Exhibit No. | Description | |
| 3.1 | By-Laws of EMCORE Corporation, as amended through January 11, 2021. | |
| 104 | Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101) |
C:
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| EMCORE CORPORATION | ||
| By: | /s/ Tom Minichiello | |
| Dated: January 13, 2021 | Name: | Tom Minichiello |
| Title: | Chief Financial Officer | |
C:
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 1/13/21 | None on these Dates | ||
| For Period end: | 1/11/21 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/17/23 Emcore Corp. 424B5 1:791K Toppan Merrill/FA 8/16/23 Emcore Corp. 424B5 1:788K Toppan Merrill/FA 2/15/23 Emcore Corp. 424B5 1:425K Toppan Merrill/FA 2/14/23 Emcore Corp. 424B3 1:426K Toppan Merrill/FA 12/03/21 Emcore Corp. 10-K 9/30/21 93:23M 5/13/21 Emcore Corp. S-3 5:1M Toppan Merrill/FA 5/07/21 Emcore Corp. 10-Q 3/31/21 63:5.3M 2/11/21 Emcore Corp. 424B2 1:454K Toppan Merrill/FA 2/10/21 Emcore Corp. 424B3 1:450K Toppan Merrill/FA 2/05/21 Emcore Corp. 10-Q 12/31/20 62:4.5M Toppan Merrill Bridge/FA |