EMKR 10-K Annual Report Sept. 30, 2017 | Alphaminr
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EMKR 10-K Fiscal year ended Sept. 30, 2017

Balance Sheet
Cash Flow
Income Statement
EMCORE CORP
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PROXIES
DEF 14A
 		Filed on Jan. 26, 2024
DEF 14A
 		Filed on Jan. 20, 2023
DEF 14A
 		Filed on Jan. 18, 2022
DEF 14A
 		Filed on April 12, 2021
DEF 14A
 		Filed on Jan. 21, 2021
DEF 14A
 		Filed on Jan. 22, 2020
DEF 14A
 		Filed on Jan. 24, 2019
DEF 14A
 		Filed on Jan. 18, 2018
DEF 14A
 		Filed on Jan. 25, 2017
DEF 14A
 		Filed on Jan. 22, 2016
DEF 14A
 		Filed on Jan. 20, 2015
DEF 14A
 		Filed on Jan. 28, 2014
DEF 14A
 		Filed on Jan. 25, 2013
DEF 14A
 		Filed on Jan. 27, 2012
DEF 14A
 		Filed on May 5, 2011
DEF 14A
 		Filed on April 9, 2010
TABLE OF CONTENTS
Item 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesNote 1. Description Of BusinessNote 2. Summary Of Significant Accounting PoliciesNote 3. Recent Accounting PronouncementsNote 4. Cash, Cash Equivalents and Restricted CashNote 5. Discontinued OperationsNote 6. Fair Value AccountingNote 7. Accounts ReceivableNote 8. InventoryNote 9. Property, Plant, and Equipment, NetNote 10. Accrued Expenses and Other Current LiabilitiesNote 11. Credit FacilitiesNote 12. Income and Other TaxesNote 13. Commitments and ContingenciesNote 14. EquityNote 15. Geographical InformationNote 16. Selected Quarterly Financial Information (unaudited)

Exhibits

2.1 Asset Purchase Agreement, dated as of September 17, 2014, by and between EMCORE Corporation and SolAero Technologies Corp. (f/k/a Photon Acquisition Corporation) ( incorporated by reference to Exhibit 2.1 to the Company's Current Report on Form 8-K filed on September 18, 2014). 2.2 Amendment No. 1, dated as of November 26, 2014, to that certain Asset Purchase Agreement, dated as of September 17, 2014, by and between EMCORE Corporation and SolAero Technologies Corp. (f/k/a Photon Acquisition Corporation) (incorporated by reference to Exhibit 2.1 to the Current Report on Form 8-K filed by the Registrant on November 26, 2014). 2.3 Asset Purchase Agreement, dated October 22, 2014, by and between EMCORE Corporation and NeoPhotonics Corporation (incorporated by reference to Exhibit 2.1 to the Company's Current Report on Form 8-K filed on October 24, 2014). 2.4 Amendment No. 1, dated January 2, 2015, to that certain Asset Purchase Agreement, dated as of October 22, 2014, by and between EMCORE Corporation and NeoPhotonics Corporation (incorporated by reference to Exhibit 2.1 to the Company's Current Report on Form 8-K filed on January 5, 2015). 3.1 Restated Certificate of Incorporation, dated April 4, 2008, (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed on April 4, 2008). 3.2 Certificate of Amendment of Restated Certificate of Incorporation, dated February 15, 2012 (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed on February 16, 2012). 3.3 Certificate of Amendment of Restated Certificate of Incorporation of EMCORE Corporation, dated September 18, 2014 (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed on September 18, 2014). 3.4 Certificate of Designation Establishing the Series A Junior Participating Preferred Stock and Fixing the Powers, Designations, Preferences and Relative, Participating, Optional and Other Special Rights, and the Qualifications, Limitations and Restrictions, of the Series A Junior Participating Preferred Stock, dated September 18, 2014 (incorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed on September 18, 2014). 3.5 By-Laws of EMCORE Corporation, as amended through March 17, 2017 (incorporated by reference to Exhibit 10.2 to the Company's Current Report on Form 8-K filed on March 20, 2017). 4.1** Specimen Certificate for Shares of Common Stock 4.2 Tax Benefits Preservation Plan, dated September 17, 2014, by and between EMCORE Corporation and American Stock Transfer & Trust Company, LLC (incorporated by reference to Exhibit 4.1 to the Company's Current Report on Form 8-K filed on September 18, 2014). 4.3 Amendment No. 1 to Tax Benefits Preservation Plan, dated September 26, 2017, by and between EMCORE Corporation and American Stock Transfer & Trust Company, LLC (incorporated by reference to Exhibit 4.1 to the Company's Current Report on Form 8-K filed on September 29, 2017). 10.1 Stipulation of Compromise and Settlement, dated as of November 28, 2007, executed by the Company and the other defendants and the plaintiffs in the Federal Court Action and the State Court Actions (incorporated by reference to Exhibit 10.19 to the Companys Annual Report on Form 10-K filed on December 31, 2007). 10.2 Directors Compensation Policy (Effective January 1, 2016) (incorporated by reference to Exhibit 10.1 to the Companys Quarterly Report on Form 10-Q filed on May 5, 2016). 10.3 Directors Compensation Policy (Effective March 17, 2017) (incorporated by reference to Exhibit 10.2 to the Companys Quarterly Report on Form 10-Q filed on May 4, 2017). 10.4 Officer and Director Share Purchase Plan (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on January 27, 2011). 10.5 2010 Equity Incentive Plan, as amended and restated on June 14, 2011 (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on June 16, 2011). 10.6 Form of award agreement under 2010 Equity Incentive Plan (Incorporated by reference to Exhibit 10.7 to the Company's Annual Report on Form 10-K filed on December 14, 2015). 10.7** 2012 Equity Incentive Plan, as amended and restated on January 19, 2017. 10.8 Form of Restricted Stock Unit Award Agreement under the 2012 Equity Incentive Plan (incorporated by reference to Exhibit 10.9 to the Company's Annual Report on Form 10-K filed on December 14, 2015). 10.09 Form of time-based Restricted Stock Unit Award Agreement under the 2012 Equity Incentive Plan (as of October 2016) (incorporated by reference to Exhibit 10.9 to the Company's Annual Report on Form 10-K filed on December 7, 2016). 10.10 Form of Performance-Based Restricted Stock Award Agreement under the 2012 Equity Incentive Plan (for executive officers) (as of October 2016) (incorporated by reference to Exhibit 10.10 to the Company's Annual Report on Form 10-K filed on December 7, 2016). 10.11** Form of Performance-Based Restricted Stock Award Agreement under the 2012 Equity Incentive Plan (for non-executive officers) (as of October 2016) 10.12** Restricted Stock and Restricted Stock Unit Award Agreement under the 2012 Equity Incentive Plan entered into between the Company and Jeffrey Rittichier, with a grant date of October 18, 2016. 10.13** Performance-Based Restricted Stock and Restricted Stock Unit Award Agreement under the 2012 Equity Incentive Plan entered into between the Company and Jeffrey Rittichier, with a grant date of October 18, 2016. 10.14 EMCORE Corporation 2000 Employee Stock Purchase Plan, as amended March 5, 2014 (incorporated by reference to Exhibit B to the Company's Proxy Statement filed on January 28, 2014). 10.15 Form of Indemnification Agreement entered into with directors and executive officers (incorporated by reference to Exhibit 10.1 of the Company's Current Report on Form 8-K filed on December 14, 2012). 10.16 Employment Agreement, dated December 10, 2014, by and between EMCORE Corporation and Jeff Rittichier (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on December 11, 2014). 10.17 Employment Agreement, dated June 6, 2016, by and between EMCORE Corporation and Jikun Kim (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on June 8, 2016). 10.18 EMCORE Corporation Fiscal 2017 Bonus Plan (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on December 16, 2016). 21.1** Subsidiaries of the Company. 23.1** Consent of KPMG LLP, independent registered public accounting firm. 31.1** Certificate of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2** Certificate of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32.1*** Certificate of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2*** Certificate of Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002