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EMKR Emcore

Filed: 19 Oct 20, 4:10pm
iso4217:USD xbrli:shares

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

October 19, 2020

Date of Report (Date of earliest event reported)

 

 

EMCORE CORPORATION

Exact Name of Registrant as Specified in its Charter

 

New Jersey001-3663222-2746503
State of IncorporationCommission File NumberIRS Employer Identification
Number

 

2015 W. Chestnut Street, Alhambra, California, 91803

Address of principal executive offices, including zip code

 

(626) 293-3400

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:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨ 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 ClassTrading symbol(s)Name of Each Exchange on Which
Registered
Common stock, no par valueEMKRThe Nasdaq Stock Market LLC (Nasdaq Global Market)

 

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).

 

Emerging growth company   ¨

 

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 2.02Results of Operations and Financial Condition.

 

On October 19, 2020, EMCORE Corporation (the “Registrant”) issued a press release disclosing its preliminary financial results for its fourth quarter ended September 30, 2020.  A copy of this press release is attached as Exhibit 99.1 to this Current Report.

 

The information in this Current Report, including Exhibit 99.1 hereto, shall not be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference to such filing.  Furthermore, the information in this Current Report, including Exhibit 99.1 hereto, shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise be subject to the liabilities of that section.

 

Item 9.01Financial Statements and Exhibits.

 

(d) Exhibits

 

Exhibit
Number
 Exhibit Description
99.1 Press Release, dated October 19, 2020, issued by EMCORE Corporation.
104 Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101)

 

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
 Name:Tom Minichiello
Dated: October 19, 2020Title:Chief Financial Officer