SEC Form 4 · accession 0001213900-17-006411
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Brog
Officer — President and CEO · Director
Period of report
Jun 9, 2017
Accepted (ET)
Jun 13, 2017 · 12:55 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 | Jun 9, 2017 | M | 15,000 | $0.00 | A | 42,759 | D | |
| Common StockF2 | Jun 9, 2017 | F | 5,759 | $9.52 | D | 37,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 9, 2017, 15,000 RSUs previously granted to Mr. Brog pursuant to his employment vested based upon their terms.
- F2As permitted under the Company's 2016 Equity Incentive Plan, on June 9, 2017, the Company withheld 5,759 shares of common stock from the reporting person to pay certain FICA, Medicare, Income Withholding and other taxes in connection with the vesting of such RSUs.