SEC Form 4 · accession 0001213900-17-010272
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald R Caldwell
Director
Period of report
Sep 30, 2017
Accepted (ET)
Oct 3, 2017 · 5:40 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,F2 | Sep 30, 2017 | A | 1,228 | $0.00 | A | 13,900 | D | |
| Common StockF3,F4 | holding | — | — | — | 221,784 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On September 30, 2017, the Reporting Person received shares of restricted stock under the Rubicon Technology, Inc. 2016 Stock Incentive Plan, as compensation for service as a Director. Such shares will vest 30 days from the transaction date.
- F2Under the terms of the applicable partnership agreements of the Funds (as defined below), the Reporting Person is deemed to hold the newly acquired shares plus an additional 11,962 shares (for a total of 13,190 shares), for the benefit of the Funds, which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
- F3Consists of shares held by Cross Atlantic Technology Fund, II, L.P. and/or The Co-Investment 2000 Fund, L.P. (the "Funds"). The Reporting Person is the owner and director of Cross Atlantic Capital Partners, Inc., which is the investment manager for each of the Funds. The Reporting Person is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. The Reporting Person is a shareholder, director and officer of Co-Invest Capital Partners, Inc., which is the general partner of Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. The Reporting Person disclaims beneficial ownership of the shares held by the Funds except to the extent of his pecuniary interest therein.
- F4Cross Atlantic Technology Fund II, L.P. holds 104,769 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 117,015 shares of common stock.