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OMB APPROVAL
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OMB Number 3235-0287
Expires: December 31, 2001
Estimated average burden
hours per response ....... 0.5
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
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 this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Russell, Thomas J.
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(Last) (First) (Middle)
Two North Tamiami Trail, Suite 1200
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(Street)
Sarasota, Florida 34236
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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
October 2001
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
[ X ] Director [ X ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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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
* If the form is filed by more than one reporting person,
see Instruction 4(b)(v).
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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4.
Securities Acquired (A) or
3. Disposed of (D)
Transaction (Instr. 3, 4 and 5)
2. Code -----------------------------
1. Transaction (Instr. 8) (A)
Title of Security Date ------------ Amount or Price
(Instr. 3) (mm/dd/yy) Code V (D)
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(1) Common Stock 10/26/01 X 822,256 A $5.10
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Table I (cont.) -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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5. 6. Owner-
Amount of ship
Securities Form: 7.
Beneficially Direct Nature of
Owned at End (D) or Indirect
1. of Month Indirect Beneficial
Title of Security (Instr. 3 (I) Ownership
(Instr. 3) and 4) (Instr.4) (Instr. 4)
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(1) Common Stock 2,384,824 D
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(2) Common Stock 2,556,730 I By AER 1997 Trust
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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) Common Stock $5.10 10/26/01 X 822,256 Immediately 11/01/01
Warrant (right to
buy)
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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 10.
Securities 9. Ownership
(Instr. 3 and 4) Number of Form of
---------------- Derivative Derivative 11.
1. Amount 8. Securities Securities Nature of
Title of or Price of Beneficially Beneficially Indirect
Derivative Number Derivative Owned Owned at Beneficial
Security of Security at End of Month End of Month Ownership
(Instr. 3) Title Shares (Instr. 5) (Instr.4) (Instr. 4) (Instr. 4)
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(1) Commmon Stock Common 822,256 0
Warrant
(right to buy)
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Explanation of Responses:
/s/ Thomas Russell November 20, 2001
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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).
SEC 1472 Note: File three copies of this Form, one of which must be manually
(3-99) signed. If space is insufficient, see Instruction 6 for procedures.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB number.