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OMB APPROVAL
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OMB Number: 3235-0362
Expires: January 31, 2005
Estimated average burden
hours per response ....... 1.0
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 5
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[ ] Check box if no longer subject to Section 16. Form 4 or Form 5obligations
may continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
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1. Name and Address of Reporting Person*
Richard Stall
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(Last) (First) (Middle)
c/o EMCORE Corporation, 145 Belmont Drive
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(Street)
Somerset, New Jersey 08873
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Emcore Corporation (EMKR)
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3. IRS Identification Number of Reporting Person, if an entity (voluntary)
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4. Statement for Month/Year
September 2002
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[ X ] Director [ ] 10% Owner
[ X ] Officer (give title below) [ ] Other (specify below)
Chief Technology Officer
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7. Individual or Joint/Group Filing
(Check applicable line)
[ X ] Form filed by one Reporting Person
[ ] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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4.
Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5)
2. 3. -----------------------------
1. Transaction Transaction (A)
Title of Security Date Code Amount or Price
(Instr. 3) (mm/dd/yy) (Instr. 8) (D)
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(1) Common Stock 12/20/01 G 2,600 D $0.00
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Table I (cont.) -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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5.
Amount of
Securities 6. 7.
Beneficially Ownership Nature of
Owned at End Form: Indirect
1. of Issuer's Direct (D) Beneficial
Title of Security Fiscal Year or Indirect Ownership
(Instr. 3) (Instr. 3 & 4) (I) (Instr.4) (Instr. 4)
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(1) Common Stock 110,397 D
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* If the form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
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Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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6.
Date
5. Exercisable and
2. 4. Number of Derivative Expiration Date
1. Conversion or Transaction Securities Acquired (A) (Month/Day/Year)
Title of Exercise 3. Code or Disposed of (D) ----------------
Derivative Price of Transaction (Instr. 8) (Instr. 3, 4 and 5) Date Expira-
Security Derivative Date (Month/ ------ ----------------------- Exer- tion
(Instr. 3) Security Day/Year) Code V (A) (D) cisable Date
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(1)
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Table II (cont.) -- Derivative Securities Acquired, Disposed of, or Beneficially
Owned (e.g., puts, calls, warrants, options, convertible securities)
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7.
Title and Amount
of Underlying
Securities 9. 10.
(Instr. 3 and 4) Number of Ownership of
---------------- Derivative Derivative 11.
1. Amount 8. Securities Security: Nature of
Title of or Price of Beneficially Direct Indirect
Derivative Number Derivative Owned (D) or In- Beneficial
Security of Security at End of Year direct (I) Ownership
(Instr. 3) Title Shares (Instr. 5) (Instr.4) (Instr. 4) (Instr. 4)
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(1)
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Explanation of Responses:
/s/Richard Stall September 6, 2002
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**Signature of Reporting Person Date
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
Alternatively, this Form is permitted to be submitted to the Commission in
electronic format at the option of the reporting person pursuant to Rule
101(b)(4) of Regulation S-T.