Form D · Other Technology
EMCORE CORP
Albuquerque, NM · CIK 0000808326
Offering snapshot reported Aug 30, 2011 · SEC filing
- Reported sold
- $204K Indefinite offering
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Aug 16, 2011 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 30, 2011 | Initial | $204,142 | No comparison | 1 | SEC filing |
| Mar 6, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Feb 2, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jan 30, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Dec 27, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Nov 28, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Nov 23, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $500K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-165131
Pursuant to an agreement, dated August 16, 2011, Issuer may from time to time sell shares of its common stock up to $50.0 million in the aggregate to Commerce Court Small Cap Value Fund, Ltd. 110,947 commitment shares have been issued to Commerce Court.
Reedland Capital Partners, an Institutional Division of Financial West Group, will act as placement agent, with a commission of 1.00%. Estimated assuming all $50.0 million of common stock is sold.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Financial West Group | 16668 |
Source: Form D, filed Aug 30, 2011. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Robert L. Bogomolny | Director |
| John Gillen | Director |
| Alfredo Gomez | Executive |
| Hong Q. Hou | Director, Executive |
| Christopher Larocca | Executive |
| Sherman Mc Corkle | Director |
| Reuben F. Richards | Director, Executive |
| Thomas J. Russell | Director |
| Charles T. Scott | Director |
| James A. Tegnelia | Director |
| Monica Van Berkel | Executive |
| Charlie Wang | Executive |
| Mark Weinswig | Executive |
Issuer details
Industry: Other Technology (See others in industry)
Address:
10420 Research Road, Se
Albuquerque, NM, 87123
Albuquerque, NM, 87123