EMKR 10-Q Quarterly Report Dec. 31, 2020

EMCORE CORP

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TABLE OF CONTENTS

Part I. Financial Information Item 1. Financial Statements Note 1. Description Of Business Note 2. Recent Accounting Pronouncements Note 3. Cash, Cash Equivalents and Restricted Cash Note 4. Fair Value Accounting Note 5. Accounts Receivable Note 6. Inventory Note 7. Property, Plant, and Equipment, Net Note 8. Accrued Expenses and Other Current Liabilities Note 9. Credit Facilities and Debt Note 10. Income and Other Taxes Note 11. Commitments and Contingencies Note 12. Equity Note 13. Segment Data and Related Information Item 2. Management S Discussion and Analysis Of Financial Condition and Results Of Operations Item 3. Quantitative and Qualitative Disclosures About Market Risk Item 4. Controls and Procedures Part II. Other Information Item 1. Legal Proceedings Item 1A. Risk Factors Item 6. Exhibits

Exhibits

2.1 Asset Purchase Agreement, dated as of October 25, 2019 by and among EMCORE Corporation, Hytera Communications (Hong Kong) Company Limited and Shenzhen Hytera Communications Co., Ltd. (incorporated by reference to Exhibit 2.1 to the Companys Current Report on Form 8-K filed on October 30, 2019). 2.2 Purchase and Sale Agreement, dated as of June 7, 2019 by and among EMCORE Corporation, The Resilience Fund IV, L.P., The Resilience Fund IV-A, L.P., Aerospace Newco Holdings, Inc. and Ember Acquisition Sub, Inc. (incorporated by reference to Exhibit 2.1 to the Companys Current Report on Form 8-K filed on June 10, 2019). 2.3 Standard Offer, Agreement and Escrow Instructions for Purchase of Real Estate (Non-Residential) dated as of December 31, 2019 by and between Parkview Management Group, Inc. and Systron Donner Inertial, Inc. (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on January 6, 2020). 2.4 First Amendment to Standard Offer, Agreement and Escrow Instructions for Purchase of Real Estate (Non-Residential) dated as of January 13, 2020 by and between Parkview Management Group, Inc. and Systron Donner Inertial, Inc. (incorporated by reference to Exhibit 10.6 to the Companys Quarterly Report on Form 10-Q filed on February 10, 2020). 3.1 By-Laws of EMCORE Corporation, as amended through January 11, 2021 (incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K filed on January 13, 2021). 10.1 EMCORE Corporation Fiscal 2021 Bonus Plan (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on December 16, 2020). 10.2 Form of Single-Tenant Triple Net Lease (incorporated by reference to Exhibit 10.2 to the Companys Current Report on Form 8 K filed on January 6, 2020). 10.3 Form of Lease Guaranty (incorporated by reference to Exhibit 10.3 to the Companys Current Report on Form 8 K filed on January 6, 2020). 31.1** Certificate of Chief Executive Officer Pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 31.2** Certificate of Chief Financial Officer Pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 32.1*** Certificate of Chief Executive Officer Pursuant to Section906 of the Sarbanes-Oxley Act of 2002. 32.2*** Certificate of Chief Financial Officer Pursuant to Section906 of the Sarbanes-Oxley Act of 2002.

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EMKR 10-Q Quarter ended Dec. 31, 2020

Exhibits