SEC Form 4 · accession 0000899243-15-007466
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mardel A Graffy
Officer — Chief Financial Officer
Period of report
Nov 1, 2015
Accepted (ET)
Nov 3, 2015 · 4:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001410172
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 1, 2015 | M | 4,146 | — | A | 4,938 | D | |
| Common Stock | Nov 1, 2015 | F | 1,510 | $1.10 | D | 3,428 | D | |
| Common Stock | holding | — | — | — | 2,100 | I | Through Mardel Graffy Trust dated January 27, 2005 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Nov 1, 2015 | M | 2,991 | D | — | — | Common Stock | 2,991 | 5,980 | D |
| Restricted Stock UnitsF1,F3 | — | Nov 1, 2015 | M | 1,155 | D | — | — | Common Stock | 1,155 | 2,310 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On November 1, 2014, the reporting person was granted 8,971 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F3On November 1, 2013, the reporting person was granted 4,621 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.