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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/10/21 Emcore Corp. 8-K:8,9 2/10/21 12:699K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 27K 2: EX-99.1 CHARTER Exhibit 99.1 HTML 11K 3: EX-99.2 Exhibt 9.2 HTML 7K 8: R1 Cover HTML 46K 10: XML IDEA XML File -- Filing Summary XML 12K 7: XML XBRL Instance -- tm215031d3_8k_htm XML 15K 9: EXCEL IDEA Workbook of Financial Reports XLSX 6K 5: EX-101.LAB XBRL Labels -- emkr-20210210_lab XML 97K 6: EX-101.PRE XBRL Presentations -- emkr-20210210_pre XML 64K 4: EX-101.SCH XBRL Schema -- emkr-20210210 XSD 13K 11: JSON XBRL Instance as JSON Data -- MetaLinks 25± 33K 12: ZIP XBRL Zipped Folder -- 0001104659-21-019801-xbrl Zip 15K
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): i February 10, 2021
(Exact name of registrant as specified in its charter)
| i New Jersey | i 001-36632 | 22-2746503 |
(State or Other Jurisdiction of |
(Commission File Number) | (I.R.S. Employer Identification No.) |
|
Address of principal executive offices |
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 |
Indicate by check mark whether the registrant is an emerging growth company 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).
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 8.01 | Other Events. |
On February 10, 2021, EMCORE Corporation announced that it has commenced an underwritten public offering of its common stock. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference. Certain information contained in the investor presentation being used in the connection with the public offering is attached hereto as Exhibit 99.2 and is incorporated herein by reference.
| Item 9.01 | Financial Statements and Exhibits. |
| (d) | Exhibits. |
| 99.1 | Press Release dated February 10, 2021. | |
| 99.2 | Information from Investor Presentation. |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |
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 | ||
| Date: February 10, 2021 | By: | /s/ Tom Minichiello |
| Name: | Tom Minichiello | |
| Title: | Chief Financial Officer | |
C:
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / For Period end: | 2/10/21 | 424B3, 8-K, S-3MEF, SC 13G | ||
| 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 5/13/21 Emcore Corp. S-3 5:1M Toppan Merrill/FA 2/11/21 Emcore Corp. 424B2 1:454K Toppan Merrill/FA 2/10/21 Emcore Corp. 424B3 1:450K Toppan Merrill/FA |