EMKR 10-Q Quarterly Report March 31, 2024 | Alphaminr
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EMKR 10-Q Quarter ended March 31, 2024

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EMCORE CORP
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TABLE OF CONTENTS
Part I. Financial InformationItem 1. Financial Statements (unaudited)Note 1. Description Of BusinessNote 2. Summary Of Significant Accounting PoliciesNote 3. Cash, Cash Equivalents, and Restricted CashNote 4. Assets and Liabilities Held For Sale and Discontinued OperationsNote 5. InventoryNote 6. Property, Plant, and Equipment, NetNote 7. Intangible AssetsNote 8. Benefit PlansNote 9. Accrued Expenses and Other Current LiabilitiesNote 10. Credit AgreementNote 11. Income and Other TaxesNote 12. Commitments and ContingenciesNote 13. EquityNote 14. Reportable Segment and Revenue InformationNote 15. Subsequent EventItem 2. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 4. Controls and ProceduresPart II. Other InformationItem 1. Legal ProceedingsItem 1A. Risk FactorsItem 5. Other InformationItem 6. Exhibits

Exhibits

2.1 Sale Agreement, dated as of February 14, 2022 by and among EMCORE Corporation, Ringo Acquisition Sub, Inc., and L3Harris Technologies, Inc. (incorporated by reference to Exhibit 2.1 to the Companys Current Report on Form 8-K filed on February 15, 2022). 2.2 First Amendment to Sale Agreement, dated as of March 1, 2022 by and among EMCORE Corporation, Ringo Acquisition Sub, Inc., and L3Harris Technologies, Inc. (incorporated by reference to Exhibit 2.2 to the Companys Current Report on Form 8-K filed on May 2, 2022). 2.3 Second Amendment to Sale Agreement, dated as of March 31, 2022 by and among EMCORE Corporation, Ringo Acquisition Sub, Inc., and L3Harris Technologies, Inc. (incorporated by reference to Exhibit 2.3 to the Companys Current Report on Form 8-K filed on May 2, 2022). 2.4 Third Amendment to Sale Agreement, dated as of April 29, 2022 by and among EMCORE Corporation, Ringo Acquisition Sub, Inc., and L3Harris Technologies, Inc. (incorporated by reference to Exhibit 2.4 to the Companys Current Report on Form 8-K filed on May 2, 2022). 2.5 Asset Purchase Agreement, dated as of August 9, 2022, by and among EMCORE Corporation, Delta Acquisition Sub, Inc., and KVH Industries, Inc. (incorporated by reference to Exhibit 1.1 to the Companys Current Report on Form 8-K filed on August 9, 2022). 2.6 Purchase and Sale Agreement, dated as of November 1, 2022, by and between EMCORE Chicago Inertial Corporation and HSRE Fund VII Holding Company, LLC (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on November 3, 2022). 2.7 Asset Purchase Agreement, dated as of October 11, 2023, by and among EMCORE Corporation, Photonics Foundries, Inc. and Ortel LLC (incorporated by reference to Exhibit 2.1 to the Company's Current Report on Form 8-K filed on October 12, 2023). 2.8 Asset Purchase Agreement, dated as of April 30, 2024, by and between EMCORE Corporation and HieFo Corporation (incorporated by reference to Exhibit 2.1 to the Company's Current Report on Form 8-K filed on May 2, 2024). 3.1** Certificate of Amendment of Restated Certificate of Incorporation of EMCORE Corporation, effective as of April 1, 2024. 3.2 EMCORE Amended and Restated Bylaws, as amended through February 20, 2024 (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed onFebruary21, 2024). 4.1 Warrant to Purchase Common Stock, dated April 29, 2024 (incorporated by reference to Exhibit 4.1 to the Company's Current Report on Form 8-K filed on May 2, 2024). 4.2 Section 382 Tax Benefits Preservation Plan, dated as of September 28, 2023, by and between EMCORE Corporation and Equiniti Trust Company, LLC, as Rights Agent (incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form 8-K filed on September 28, 2023). 10.1 Cooperation Agreement, dated as of January 10, 2024, by and among EMCORE Corporation and Bradley L. Radoff and certain of his affiliates (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on January 11, 2024). 10.2 EMCORE Corporation Amended and Restated 2019 Equity Plan (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on March 20, 2024). 10.3** Resignation and Appointment of Agent Agreement and Assignment of Financing Documents dated April 29, 2024 by and among Wingspire Capital LLC, in its capacity as Agent under the original Credit Agreement, and HCP-FVU, LLC, as the Successor Agent. 10.4** Forbearance Agreement and Second Amendment to Credit Agreement dated April 29, 2024 among EMCORE Corporation, EMCORE Space & Navigation Corporation and EMCORE Chicago Inertial Corporation, the Lenders from time to time party thereto and HCP-FVU, LLC, as administrative agent for the Lenders. 10.5 Credit Agreement, dated August 9, 2022, by and among EMCORE Corporation, EMCORE Space & Navigation Corporation and EMCORE Chicago Inertial Corporation, the Lenders from time to time party thereto and Wingspire Capital LLC, asadministrativeagentfor the Lenders(incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filedon August 9, 2022). 10.6 First Amendment to Credit Agreement, dated October 25, 2022, by and among EMCORE Corporation, EMCORE Space & Navigation Corporation and EMCORE Chicago Inertial Corporation, the Lenders from time to time party thereto and Wingspire Capital LLC, asadministrative agent for the Lenders(incorporated by reference to Exhibit 10.28to the Companys Annual Report on Form 10-K filedon December 28, 2022). 31.1** Certificate of Chief Financial Officer Pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 32.1*** Certificate of Chief Financial Officer Pursuant to Section906 of the Sarbanes-Oxley Act of 2002.