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
May 14, 2024
Date of Report (Date of earliest event reported)
EMCORE CORPORATION
Exact Name of Registrant as Specified in its Charter
| New Jersey | 001-36632 | 22-2746503 |
| State of Incorporation | Commission File Number | IRS Employer Identification Number |
450 Clark Dr., Budd Lake, NJ 07828
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 Class | Trading symbol(s) | Name of Each Exchange on Which Registered |
| Common stock, no par value | EMKR | The Nasdaq Stock Market LLC |
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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(c) Effective on May 14, 2024, EMCORE Corporation (the “Company”) appointed Matthew Vargas as interim Principal Executive Officer. Mr. Vargas will also continue to serve in his current role as the Company’s interim Chief Executive Officer and VP, Sales while serving as the interim Principal Executive Officer. Mr. Vargas, age 38, has served as the Company’s interim Chief Executive Officer since May 2024 and VP, Sales since December 2022.
Mr. Vargas will not receive any additional compensation for assuming the interim Principal Executive Officer role, and no changes will be made to his employment agreement in connection with this appointment.
Mr. Vargas does not have any family relationships with any of the Company’s directors or executive officers, and has no direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
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 |
| May 16, 2024 | Title: | Chief Financial Officer |
