Form SC 13G - Statement of Beneficial Ownership by Certain Investors
04 Noviembre 2024 - 8:51AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
SCHEDULE
13G
Under the Securities Exchange Act of 1934
(Amendment
No. )*
EMCORE Corporation
(Name
of Issuer)
common Stocks
(Title
of Class of Securities)
290846401
(CUSIP
Number)
August 13th 2024
(Date
of Event Which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
☒
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 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. 290846401 | Schedule 13G | Page 1 of 4 |
1 |
NAMES
OF REPORTING PERSONS
VIKAS CHOPRA |
2 |
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a)
☐
(b)
☐
|
3 |
SEC
USE ONLY
|
4 |
CITIZENSHIP
OR PLACE OF ORGANIZATION
USA CITIZEN |
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH: |
5 |
SOLE
VOTING POWER
978600 |
6 |
SHARED
VOTING POWER
0 |
7 |
SOLE
DISPOSITIVE POWER
978600 |
8 |
SHARED
DISPOSITIVE POWER
0 |
9 |
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
978600 |
10 |
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
☐
|
11 |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
10.79 |
12 |
TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)
Individual |
(1)
Includes shares of Common Stock underlying outstanding Warrant and Convertible
Note held by the Reporting Person. Each of the Warrant and Convertible Note includes a beneficial ownership limitation. The Warrant may
not be exercised, and the Convertible Note may not be converted, to the extent the Reporting Persons would beneficially own more than
9.99% of the outstanding Common Stock of the Issuer. For additional information, see Item 4 below. Capitalized terms have the meanings
ascribed to them below.
CUSIP No. 290846401 | Schedule 13G | Page 2 of 4 |
Item
1(a). | Name
of Issuer: |
EMCORE Corporation
Item
1(b). | Address
of Issuer’s Principal Executive Offices: |
2015 W. Chestnut Street,Alhambra, California 91803
Item
2(a). | Name
of Person Filing: |
VIKAS CHOPRA
Item
2(b). | Address
of Principal Business Office or, if None, Residence: |
192 west greystone rd, Old Bridge,NJ 08857
USA CITIZEN
Item
2(d). | Title
of Class of Securities: |
Common Stock
290846401
Item
3. | If
This Statement is Filed Pursuant to Rules 13d-1(b), or 13d-2(b) or (c), Check Whether the
Person Filing is a: |
|
(a) |
☐ |
Broker
or dealer registered under Section 15 of the Exchange Act; |
|
|
|
|
|
(b) |
☐ |
Bank
as defined in Section 3(a)(6) of the Exchange Act; |
|
|
|
|
|
(c) |
☐ |
Insurance
company as defined in Section 3(a)(19) of the Exchange Act; |
|
|
|
|
|
(d) |
☐ |
Investment
company registered under Section 8 of the Investment Company Act; |
|
|
|
|
|
(e) |
☐ |
An
investment adviser in accordance with Rule 13d-1(b)(ii)(E); |
|
|
|
|
|
(f) |
☐ |
An
employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
|
|
|
|
|
(g) |
☐ |
A
parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G); |
|
|
|
|
|
(h) |
☐ |
A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; |
|
|
|
|
|
(i) |
☐ |
A
church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; |
|
|
|
|
|
(j) |
☐ |
A
non-U.S. institution, in accordance with Rule 13d-1(b)(1)(ii)(J); or |
|
|
|
|
|
(k) |
☐ |
Group,
in accordance with Rule 13d-1(b)(1)(ii)(K). |
If
filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _______________
CUSIP No. 290846401 | Schedule 13G | Page 3 of 4 |
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified
in Item 1.
| (a) | Amount
Beneficially Owned:978600 |
| (b) | Percent
of Class: 10.79% |
| (c) | Number
of shares as to which the person has |
| (i) | Sole
power to vote or direct the vote: 978600 |
| (ii) | Shared
power to vote or direct the vote: 0 |
| (iii) | Sole
power to dispose or direct the disposition: 978600 |
| (iv) | Shared
power to dispose or direct the disposition: 0 |
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
None.
Item
6. | Ownership
of More than Five Percent on Behalf of Another Person: |
None.
Item
7. | Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by the
Parent Holding Company or Control Person: |
None.
Item
8. | Identification
and Classification of Members of the Group: |
None.
Item
9. | Notice
of Dissolution of Group: |
None.
(a) The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b):
"By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were
acquired and are held in the ordinary course of business and were not acquired and 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 such purpose or effect."
(b) The following certification shall be included if the statement is filed pursuant to Rule 13d-1(c):
"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 acq
CUSIP No. 290846401 | Schedule 13G | Page 4 of 4 |
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:
10/31/2024 |
|
|
|
|
|
By: |
/s/ VIKAS CHOPRA |
|
Name:
|
VIKAS CHOPRA |
|
Title:
|
Director |
The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the
statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the
filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided,
however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
EMCORE (NASDAQ:EMKR)
Gráfica de Acción Histórica
De Nov 2024 a Dic 2024
EMCORE (NASDAQ:EMKR)
Gráfica de Acción Histórica
De Dic 2023 a Dic 2024