Sec Form 13G Filing - North Sound Trading LP filing for EMCORE CORP (EMKR) - 2020-03-19

Emcore Corp.

(Name of Issuer)

Common Stock, no par value

(Title of Class of Securities)

290846203

(CUSIP Number)

March 9, 2020

(Date of Event which Requires Filing of this Statement)

CUSIP No. 290846203

SCHEDULE 13G

Page 2 of 8

1

NAME OF REPORTING PERSON

 

North Sound Management, Inc.

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

 

(a)  ☐

(b)  ☐

3

SEC USE ONLY

 

 

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

 

NUMBER OF

SHARES

BENEFICIALLY OWNED

BY EACH REPORTING

PERSON

WITH

5

SOLE VOTING POWER

 

1,700,000

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

1,700,000

8

SHARED DISPOSITIVE POWER

 

0

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,700,000

 

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

 

☐

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.8%

 

12

IA, CO

 

CUSIP No. 290846203

SCHEDULE 13G

Page 5 of 8

ITEM 1.

(a)

Name of Issuer:

EMCORE Corporation (the “Issuer”)

(b)

Address of Issuer’s Principal Executive Offices:

2015 W. Chestnut Street

Alhambra, California 91803

ITEM 2.

(a)

Name of Person Filing:

This statement is being filed on behalf of each of the following persons (each, a “Reporting Person” and, collectively, the “Reporting Persons”):

(1)          North Sound Trading, LP

(2)          North Sound Management, Inc.

(3)          Brian Miller

(b)

Address of Principal Business Office, or if none, Residence:

The principal business address for each of the Reporting Persons is:

c/o North Sound Management, Inc.

115 East Putnam Avenue

Greenwich, CT 06830

(c)

Citizenship:

See row 4 of the cover page of each Reporting Person.

(d)

Title of Class of Securities:

See cover page.

(e)

CUSIP Number:

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:

See row 9 of the cover page of each Reporting Person

(b)

Percent of class:

Each of the Reporting Persons may be deemed to be the beneficial owner of approximately 5.8% of the outstanding shares of the Issuer’s common stock, no par value (“Common Stock”).

The calculations of beneficial ownership percentage is based on 29,078,804 shares of Common Stock issued and outstanding as of February 3, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission on February 10, 2020.

(c)

Number of shares as to which such person has:

(i)

Sole power to vote or to direct the vote:

See row 5 of the cover page of each Reporting Person.

(ii)

Shared power to vote or to direct the vote:

See row 6 of the cover page of each Reporting Person.

(iii)

Sole power to dispose or to direct the disposition of:

See row 7 of the cover page of each Reporting Person.

(iv)

Shared power to dispose or to direct the disposition of:

See row 8 of the cover page of each Reporting Person.

ITEM 5.

OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.

Not applicable.

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.

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, other than activities solely in connection with a nomination under §240.14a-11.

 

NORTH SOUND TRADING, LP

 

 

 

 

 

 

 

By: North Sound Management, Inc., its

 

 

general partner

 

 

 

 

 

 

 

By:

/s/ Brian Miller

 

 

 

Name:

Brian Miller

 

 

 

Title:

President