SEC Form 4 · accession 0000899243-15-007465
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hany Tamim
Officer — Chief Operating Officer
Period of report
Oct 31, 2015
Accepted (ET)
Nov 3, 2015 · 4:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001410172
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $1.10 | Oct 31, 2015 | A | 30,000 | A | — | Oct 31, 2025 | Common Stock | 30,000 | 30,000 | D |
| Restricted Stock UnitsF2,F3 | — | Nov 1, 2015 | A | 50,000 | A | — | — | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Options vest in four equal installments beginning on October 31, 2016.
- F2Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F3Restricted stock units vest in three equal annual installments beginning on November 1, 2016.