Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
What is insider trading>>
THE UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3 )*
EMCORE Corp.
(Name of Issuer)
Common Stock, No Par Value
(Title of Class of Securities)
290846203
(CUSIP Number)
December 31, 2023
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule 13G is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting
person?s initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 (Act) or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
CUSIP No. 290846203
(1) Names of Reporting Persons. I.R.S. Identification Nos. of
Above Persons (entities only):
AWM Investment Company, Inc.
(2) Check the Appropriate Box if a Member of a Group (See
Instructions) (a)___ b)___
(3) SEC Use Only
(4) Citizenship or Place of Organization: Delaware, United States
Number of Shares Beneficially
Owned by Each Reporting Person
With
(5) Sole Voting Power:
4,642,632** Common Shares
7,722,642**(9.99% of outstanding
Shares)
(6) Shared Voting Power: 0**
(7) Sole Dispositive Power:
4,642,632** Common Shares
7,722,642**(9.99% of outstanding
Shares)
(8) Shared Dispositive Power: 0**
(9) Aggregate Amount Beneficially Owned by Each Reporting
Person: 4,642,632** Common Shares, 7,722,642**(9.99%
of Outstanding Shares)
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions):
(11) Percent of Class Represented by Amount in Row (9): 9.99%**
(12) Type of Reporting Person (See Instructions): IA
**AWM Investment Company, Inc., a Delaware Corporation (AWM), is the
investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN),
Special Situations Fund III QP, L.P. (SSFQP), Special Situations
Private Equity Fund, L.P. (SSPE), Special Situations Technology Fund,
L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II)
(CAYMAN, SSFQP, SSPE, TECH and TECH II will hereafter be referred to
as the Funds). As the investment adviser to the Funds, AWM holds sole
voting and investment power over 525,713 shares of Common Stock of the
Issuer (the Shares) and 396,807 pre-funded Warrants held by CAYMAN,
1,806,260 Shares and 1,292,378 pre-funded Warrants held by SSFQP,
492,168 Shares and 1,279,202 pre-funded Warrants held by SSPE, 281,714
Shares and 159,814 pre-funded Warrants held by TECH and 1,536,777
Shares, 871,799 pre-funded Warrants held by TECH II. See Items 2 and 4
of this Schedule for additional information.
*** Warrants described herein may only be converted into Common Shares
to the extent that the total number of Common Shares then beneficially
owned does not exceed 9.99% of the outstanding shares.
Item 1(a). Name Of Issuer: EMCORE Corp.
Item 1(b). Address of Issuer?s Principal Executive Offices:
2015 W. Chestnut Street
Alhambra, California 91803
Item 2(a). Name of Person Filing:
The person filing this report is AWM Investment Company, Inc.,
a Delaware corporation (AWM), which is the investment adviser
to Special Situations Cayman Fund, L.P., a Cayman Island
limited partnership (CAYMAN), Special Situations Fund III QP,
L.P., a Delaware limited partnership (SSFQP) Special Situations
Private Equity Fund, L.P., a Delaware limited partnership
(SSPE), Special Situations Technology Fund, L.P., a Delaware
limited partnership (TECH) and Special Situations Technology
Fund II, L.P., a Delaware limited partnership (TECH II),
(CAYMAN, SSFQP, SSPE, TECH and TECH II, will hereafter be
referred to as the Funds). The principal business of each Fund
is to invest in equity and equity-related securities and other
securities of any kind or nature.
David M. Greenhouse (Greenhouse) and Adam C. Stettner
(Stettner) are members: of SSCayman, L.L.C., a Delaware limited
liability company (SSCAY), the general partner of CAYMAN; MGP
Advisers Limited Partnership, a Delaware limited partnership
(MGP), the general partner of SSFQP; MG Advisers, L.L.C., a New
York limited liability company (MG), the general partner of
SSPE; and SST Advisers, L.L.C., a Delaware limited liability
company (SSTA), the general partner of TECH and TECH II.
Greenhouse and Stettner are also controlling principals of AWM.
Item 2(b). Address of Principal Business Office or, if None,
Residence:
The principal business address for AWM is c/o Special
Situations Funds, 527 Madison Avenue, Suite 2600, New York, NY
10022.
Item 2(c). Citizenship: AWM is a Delaware Corporation.
Item 2(d). Title of Class of Securities: Common Stock, No Par
Value
Item 2(e). CUSIP No.: 290846203
Item 3. If This Statement Is Filed Pursuant to ??240.13d-1(b) or
240.13d-2(b) or (c), check whether the Person Filing is a:
Not Applicable.
Item 4. Ownership
(a) Amount Beneficially Owned:4,642,632** Common Shares,
7,722,642** (9.99% of outstanding Shares)
(b) Percent of Class: 9.99%**
(c) Number of Shares as to which the person has:
(i) sole power to vote or to direct the vote: 4,642,632**
Common Shares, 7,722,642** (9.99% of outstanding Shares)
(ii) shared power to vote or to direct the vote: 0**
(iii) sole power to dispose or to direct the disposition of:
4,642,632** Common Shares, 7,722,642** (9.99% of
outstanding Shares)
(iv) shared power to dispose or to direct the disposition
of: 0**
______________________________________________________________________
** AWM is the investment adviser to each of the Funds. As the
investment adviser to the Funds, AWM holds sole voting and investment
power over 525,713 shares of Common Stock of the Issuer (the Shares)
and 396,807 pre-funded Warrants held by CAYMAN, 1,806,260 Shares and
1,292,378 pre-funded Warrants held by SSFQP, 492,168 Shares and
1,279,202 pre-funded Warrants held by SSPE, 281,714 Shares and 159,814
pre-funded Warrants held by TECH and 1,536,777 Shares, 871,799 pre-
funded Warrants held by TECH II. Greenhouse and Stettner are members:
of SSCAY, the general partner of CAYMAN; MGP, the general partner of
SSFQP; MG, the general partner of SSPE and SSTA, the general partner
of TECH and TECH II. Greenhouse and Stettner are also controlling
principals of AWM.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following. ___
Item 6. Ownership of More Than Five Percent on Behalf of Another
Person
Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding
Company or Control Person
Not Applicable.
Item 8. Identification and Classification of Members of the Group
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is
true, complete and correct.
Dated: February 13,2024
AWM INVESTMENT COMPANY, INC.
By: /s/ Adam Stettner
Name: Adam Stettner
Title: Executive Vice President
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001)
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