SEC Form 4 · accession 0000899243-16-010628
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael E Mikolajczyk
Director
Period of report
Dec 30, 2015
Accepted (ET)
Jan 4, 2016 · 4:09 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,F2 | Dec 30, 2015 | P | 41,300 | $1.20 | A | 169,469 | D | |
| Common StockF3 | Dec 31, 2015 | P | 38,700 | $1.19 | A | 208,169 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.16 to $1.24, inclusive. The reporting person undertakes to provide to Rubicon Technology, Inc., any security holder of Rubicon Technology, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (3) to this Form 4.
- F2Includes 3,406 shares of restricted stock that vest on December 31, 2015, which were previously reported by the reporting person on Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.16 to $1.24, inclusive.