SEC Form 4 · accession 0001213900-17-011258
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mardel A Graffy
Officer — Chief Financial Officer
Period of report
Nov 1, 2017
Accepted (ET)
Nov 2, 2017 · 4:02 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, 2017 | M | 414 | — | A | 414 | D | |
| Common StockF2 | Nov 1, 2017 | F | 130 | $7.61 | D | 284 | D | |
| Common Stock | holding | — | — | — | 815 | I | Through Mardel Graffy Trust dated January 27, 2005 |
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,F3 | — | Nov 1, 2017 | M | 299 | D | — | — | Common Stock | 299 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Nov 1, 2017 | M | 115 | D | — | — | Common Stock | 115 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one for one basis.
- F2As permitted under the Company's 2016 Equity Incentive Plan, on November 1, 2017, the Company withheld 130 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.
- F3On November 1, 2014, the reporting person was granted 897 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F4On November 1, 2013, the reporting person was granted 462 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.