SEC Form 4 · accession 0000899243-17-000253
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
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 4:40 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 | Dec 31, 2016 | M | 33,333 | — | A | 45,666 | D | |
| Common Stock | Dec 31, 2016 | F | 9,333 | $0.60 | D | 36,333 | 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 | — | Dec 31, 2016 | M | 33,333 | D | — | — | Common Stock | 33,333 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one for one basis.
- F2On December 31, 2016, the reporting person's restricted stock units became fully vested in connection with the termination of his employment.