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Table of Contents FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30 , 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Securities registered pursuant to Section 12 ( b ) of the Act : Title of Each Class Common stock , no par value Commission File Number 001-36632 New Jersey . ( State or other jurisdiction of incorporation or organization ) emcore® EMCORE Corporation ( Exact name of registrant as specified in its charter ) Securities registered pursuant to Section 12 ( g ) of the Act : None 2015 W. Chestnut Street , Alhambra , California , 91803 ( Address of principal executive offices ) ( Zip Code ) Registrant's telephone number , including area code : ( 626 ) 293-3400 Trading Symbol EMKR ( I.R.S. Employer Identification No. ) 22-2746503 Name of Each Exchange on Which Registered The Nasdaq Stock Market LLC ( Nasdaq Global Market ) Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15 ( d ) of the Act . Yes No Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company or an emerging growth company . See the definitions of “ large accelerated filer ” , “ accelerated filer ” , “ smaller reporting company ” and “ emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer Accelerated filer Non - accelerated filer Smaller reporting company 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 . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No As of November 29 , 2021 , the number of shares outstanding of no par value common stock totaled 36,990,099 . The aggregate market value of common stock held by non - affiliates as of March 31 , 2021 ( the last business day of the most recently completed second fiscal quarter ) was approximately $ 199.0 million , based on the closing sale price of $ 5.46 per share of common stock as reported on the Nasdaq Global Market . For purposes of this disclosure , shares of common stock held by officers and directors and by each person known by us to own 10 % or more of outstanding common stock have been excluded . This determination of affiliate status is not necessarily a conclusive determination for any other purpose . DOCUMENTS INCORPORATED BY REFERENCE In accordance with General Instruction G ( 3 ) of Form 10 - K , certain information required by Part III hereof will either be incorporated into this Annual Report on Form 10 - K by reference to the Definitive Proxy Statement for the Annual Meeting of Shareholders filed within 120 days of the fiscal year ended September 30 , 2021 or will be included in an amendment to this Annual Report on Form 10 - K filed within 120 days of September 30 , 2021 .