EMCORE CORP

Overview

• IndustrySemiconductors & Related Devices²
• HeadquartersAlhambra, United States²
• Incorporated inNJ³
• Business address2015 W. Chestnut Street, Alhambra, Ca 91803³
• Filer categoryNon-accelerated filer, Smaller reporting company³
• Legal formCorporation²
• LEI529900B9OHDEWU534K08²
• StatusActive²
• LEI statusLapsed (not renewed)²
• Registered addressn.a., N.A., United States²
• Registered withBusiness Records Service (Division of Revenue & Enterprise Services), 0100312658²

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EMCORE Corporation, together with its subsidiaries (referred to herein as the “Company,” “we,” “our,” or “EMCORE”), was established in 1986 as a New Jersey corporation. We became publicly traded in 1997 and are listed on the Nasdaq Stock Exchange under the ticker symbol EMKR. Our headquarters and principal executive offices are located in Budd Lake, New Jersey. For specific information about products or the markets served please visit our website at https://www.emcore.com. The information contained in or linked to our website is not a part of, nor incorporated by reference into, this Annual Report on Form 10-K or a part of any other report or filing with the SEC.⁴ From its latest annual report

Corporate structure

EMCORE CORP sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What EMCORE CORP reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

Real estate and locations

Investments

Intangibles and goodwill

Inventory

Properties, in its own words

We lease building space consisting of corporate, manufacturing, research and development, and administrative functions. We currently lease facilities in Alhambra and Concord, California, Budd Lake, New Jersey, Middletown, Rhode Island, and Tinley Park, Illinois.

The facility in Tinley Park, Illinois, with approximately 100,415 square feet, is leased through 2034 with an option to extend and is utilized for manufacturing, research and development and administrative functions.

Item 2 of the 10-K filed Jan 14, 2025.⁴

Leadership

Who has led EMCORE CORP, and when. Pick a name to see everywhere that person has worked.

• Chief executive officerMatthew Vargas May 17, 2024 to Feb 28, 2025¹⁵
• Chief executive officerJeffrey Rittichier Jan 6, 2015 to Mar 26, 2024¹⁶
• Chief executive officerHong Q. Hou Apr 7, 2008 to Jan 6, 2015¹⁷
• Chief executive officerReuben F. Richards Jr. Feb 14, 2006 to Mar 21, 2008¹⁸
• ChairReuben F. Richards Jr. Apr 2, 2008 to Feb 11, 2013¹⁹
• PresidentReuben F. Richards Jr. Feb 14, 2006 to Mar 21, 2006¹⁸
• PresidentHong Q. Hou Dec 27, 2006 to Jan 6, 2015²⁰
• Chief financial officerThomas P. Minichiello Aug 27, 2019 to Feb 28, 2025²¹
• Chief financial officerJikun Kim Jun 20, 2016 to Oct 24, 2018²²
• Chief financial officerMark Weinswig Oct 13, 2010 to Feb 18, 2016²³
• Chief financial officerJohn M. Markovich Jan 20, 2009 to Jul 29, 2009²⁴
• Chief financial officerAdam Gushard Feb 21, 2007 to May 21, 2008²⁵
• Chief financial officerThomas G. Werthan Jan 5, 2006 to Aug 16, 2006²⁶
• Chief operating officerChristopher M. Larocca Jun 4, 2009 to Aug 26, 2013²⁷
• Chief operating officerScott Massie Feb 8, 2006 to Feb 8, 2006²⁸
• Chief operating officerHong Q. Hou Dec 27, 2006 to Mar 19, 2008²⁰

Timeline

1. Feb 28, 20258-K Completed an acquisition or sale; Listing notice or transfer; Change to shareholders' rights⁵⁷
2. Feb 27, 20258-K Shareholder vote⁵⁸
3. Feb 13, 20258-K Results of operations⁵⁹
4. Jan 3, 20258-K Results of operations⁶⁰
5. Nov 8, 20248-K Entered a material agreement; Other events⁶¹
6. Oct 1, 20248-K Other events⁶²
7. Aug 14, 20248-K Results of operations⁶³
8. Aug 6, 20248-K Results of operations⁶⁴
9. Aug 6, 20248-K Ended a material agreement⁶⁵
10. Jul 31, 20248-K Executive or director change⁶⁶
11. Jul 10, 20248-K Debt or obligation accelerated⁶⁷
12. Jun 21, 20248-K Debt or obligation accelerated; Executive or director change⁶⁸
13. May 17, 2024New chief executive Matthew Vargas becomes CEO¹⁵
14. Jan 6, 2015New chief executive Jeffrey Rittichier becomes CEO¹⁶
15. Apr 7, 2008New chief executive Hong Q. Hou becomes CEO¹⁷
16. Feb 14, 2006New chief executive Reuben F. Richards Jr. becomes CEO¹⁸

Calendar

When it reported results

1. Feb 13, 2025Reported quarterly or annual results⁵⁹
2. Jan 3, 2025Reported quarterly or annual results⁶⁰
3. Aug 14, 2024Reported quarterly or annual results⁶³
4. Aug 6, 2024Reported quarterly or annual results⁶⁴
5. May 8, 2024Reported quarterly or annual results⁶⁹
6. Feb 8, 2024Reported quarterly or annual results⁷⁰
7. Dec 12, 2023Reported quarterly or annual results⁷¹
8. Aug 8, 2023Reported quarterly or annual results⁷²

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

259 filings to the SEC since October 2021: 4 annual reports, 10 quarterly reports, 54 major events, 75 insider forms, 44 large holders, 72 other. The latest 20:

1. May 15, 2025SCHEDULE 13G/A EDGAR
2. Apr 23, 2025SCHEDULE 13G/A EDGAR
3. Mar 11, 202515-12G EDGAR
4. Mar 3, 2025EFFECT EDGAR
5. Feb 28, 202525-NSE EDGAR
6. Feb 28, 20254 PRIMARY DOCUMENT EDGAR
7. Feb 28, 20254 PRIMARY DOCUMENT EDGAR
8. Feb 28, 20254 PRIMARY DOCUMENT EDGAR
9. Feb 28, 20254 PRIMARY DOCUMENT EDGAR
10. Feb 28, 20254 PRIMARY DOCUMENT EDGAR
11. Feb 28, 20254 PRIMARY DOCUMENT EDGAR
12. Feb 28, 2025S-8 POS EDGAR
13. Feb 28, 2025S-8 POS EDGAR
14. Feb 28, 2025S-8 POS EDGAR
15. Feb 28, 2025S-8 POS EDGAR
16. Feb 28, 2025S-8 POS EDGAR
17. Feb 28, 2025S-8 POS EDGAR
18. Feb 28, 2025S-8 POS EDGAR
19. Feb 28, 2025S-8 POS EDGAR
20. Feb 28, 2025S-8 POS EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

15 open-market trades by officers, directors and large owners since October 2021: 2 buys and 13 sales. Grants, option exercises and gifts are left out.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• Beryl Capital Management LLCSCHEDULE 13G/A, 2 filings Nov 18, 2024 to May 15, 2025⁷³
• GARDNER LEWIS ASSET MANAGEMENT L PSCHEDULE 13G/A, 2 filings Feb 13, 2025 to Apr 23, 2025⁷⁴
• Laurence W. LyttonSCHEDULE 13G/A, 6 filings Feb 15, 2022 to Feb 13, 2025⁷⁵
• Vikas ChopraSC 13G, 1 filing Nov 4, 2024⁷⁶
• AWM Investment Company, Inc.SC 13G/A, 5 filings Feb 11, 2022 to Jun 10, 2024⁷⁷
• Archon Capital Management LLCSC 13G/A, 4 filings Aug 25, 2023 to May 13, 2024⁷⁸
• Radoff Bradley LouisSC 13D/A, 5 filings Aug 24, 2023 to Mar 8, 2024⁷⁹
• Portolan Capital Management, LLCSC 13G/A, 2 filings Mar 24, 2023 to Feb 14, 2024⁸⁰
• VANGUARD GROUP INCSC 13G/A, 3 filings Feb 10, 2022 to Feb 13, 2024⁸¹
• Neuberger BermanSC 13G/A, 3 filings Feb 11, 2022 to Feb 12, 2024⁸²
• CANNELL CAPITAL LLCSC 13D/A, 7 filings Feb 14, 2022 to Aug 12, 2022⁸³
• BlackRockSC 13G, 2 filings Feb 4, 2022 to Jul 8, 2022⁸⁴
• NEEDHAM INVESTMENT MANAGEMENT LLCSC 13G/A, 1 filing Feb 14, 2022⁸⁵
• Orin HirschmanSC 13G/A, 1 filing Jan 7, 2022⁸⁶

SEC filer profile

How EMCORE CORP is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGAREMCORE CORP¹
• CIK0000808326
• Employer ID (EIN)22-2746503⁴
• Filer statusNon-accelerated filer not an emerging growth company; a smaller reporting company; not a shell company⁴
• Incorporated inNew Jersey⁴
• Fiscal year endsSeptember 30¹
• Industry code (SIC)3674 Semiconductors & Related Devices¹
• SEC reviewing officeOffice of Manufacturing, Division of Corporation Finance¹
• Business address2015 W. Chestnut Street, Alhambra, CA 91803¹
• Phone626-293-3400¹
• Shares outstanding9,080,833 as of Feb 11, 2025¹²
• Public float$28.4M as of Mar 28, 2024⁴
• AuditorCohnReznick LLP, Melville, New York PCAOB ID 596; no auditor attestation of internal control over financial reporting⁴
• On EDGAR sinceDec 23, 1996¹
• Filings2,093 in all: 4 (957), 8-K (333), SC 13G/A (86), 10-Q (84), 3 (69), SC 13G (56), 4/A (53), SC 13D/A (49)¹
  All 63 form types

  S-8 POS (31), 10-K (28), DEF 14A (28), S-8 (27), DEFA14A (25), 424B3 (19), 8-K/A (18), SC 13D (15), 424B4 (12), NT 10-Q (12), UPLOAD (12), EFFECT (11), S-3 (11), SD (11), 424B5 (10), CORRESP (10), NT 10-K (10), 10-K/A (8), ARS (8), SC TO-I/A (8), PRE 14A (7), S-1/A (7), REGDEX (6), S-3/A (6), 11-K (5), POS AM (4), S-1 (4), S-3MEF (4), SC TO-I (4), 10-Q/A (3), 425 (3), CT ORDER (3), RW (3), SCHEDULE 13G/A (3), 3/A (2), 424B1 (2), 424B2 (2), 5 (2), 8-A12B (2), DEFM14A (2), DEFR14A (2), PREM14A (2), S-4 (2), 144 (1), 144/A (1), 15-12G (1), 25-NSE (1), 8-A12B/A (1), 8-A12G (1), AW (1), D (1), DFAN14A (1), S-4/A (1), SC TO-C (1), SCHEDULE 13G (1)

• Latest filingsAnnual report (10-K) Jan 14, 2025
  Quarterly report (10-Q) Feb 14, 2025
  Proxy statement (DEF 14A) Jan 26, 2024
  Latest 8-K (8-K) Feb 28, 2025

Securities registered for trading

From the cover page of the 10-K filed Jan 14, 2025 (Section 12(b) of the Exchange Act).⁴

Risk factors and legal proceedings

The risks EMCORE CORP names in Item 1A of its 10-K filed Jan 14, 2025: 51 risks under these headings, as written.⁴

• Risks Related to Demand, Competition, Product Development and Manufacture, and Operations
• We have incurred losses from continuing operations and our future profitability is not certain.
• While the Company’s consolidated financial statements have been prepared on a going concern basis, we do not currently have sufficient working capital to fund our planned operations for the next twelve months and substantial doubt exists as to our ability to continue as a going concern.
• We may not be able to obtain capital when desired on favorable terms, if at all, or without dilution to shareholders.
• We may be unable to realize the level of the anticipated benefits that we expect from exiting businesses and restructuring our operations, which may adversely impact our business and results of operations.
• We are a small company and dependent on a few products for success.
• We are substantially dependent on revenues from a small number of customers. The loss of or decrease in sales from any one of these customers could adversely affect our business, financial condition, results of operations, and cash flows.
• Future revenues are inherently unpredictable. As a result, operating results are likely to fluctuate from period to period, and we may fail to meet the expectations of analysts and/or investors, which may cause volatility in our stock price and may cause the stock price to decline.
• The acquisitions of EMCORE Chicago and S&N, and any potential future acquisitions of other companies or investments in joint ventures with other companies, could adversely affect operating results, dilute shareholders’ equity, or cause us to incur additional debt or assume contingent liabilities.
• We may consider from time to time further strategic opportunities that may involve acquisitions, dispositions, investments in joint ventures, partnerships, and other strategic alternatives that may enhance shareholder value, any of which may result in the use of a significant amount of management resources or significant costs, and we may not be able to fully realize the potential benefit of such transactions.
• The market price for our common stock has experienced significant price and volume volatility and is likely to continue to experience significant volatility in the future. This volatility may impair the ability to finance strategic transactions with our stock and otherwise harm our business.
• Our operating results could be harmed if we are unable to obtain timely deliveries of sufficient materials, components, or services of acceptable quality from sole or limited sources, or if the prices of materials, components, or services for which we do not have alternative sources increase.

Legal proceedings

See Note 12 - Commitments and Contingencies in the Notes to Consolidated Financial Statements for disclosures related to legal proceedings, which disclosures are incorporated herein by reference.

The opening of Item 3, Legal Proceedings.⁴