SEC Form 4 · accession 0000899243-16-032722
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
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 4:30 pm EDT
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, 2016 | M | 16,667 | — | A | 16,667 | D | |
| Common Stock | Nov 1, 2016 | F | 4,334 | $0.60 | D | 12,333 | D |
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, 2016 | M | 16,667 | D | — | — | Common Stock | 16,667 | 33,333 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one for one basis.
- F2On November 1, 2015, the reporting person was granted 50,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.