SEC Form 4 · accession 0001213900-17-012335
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald R Caldwell
Director
Period of report
Nov 16, 2017
Accepted (ET)
Nov 20, 2017 · 12:58 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 StockF2 | Nov 16, 2017 | S | 221,784 | $8.00 | D | 0 | I | See Note |
| Common StockF1 | holding | — | — | — | 13,900 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 13,190 shares held for the benefit of the Funds (as defined below), 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.
- F2Consists of 104,769 shares sold by Cross Atlantic Technology Fund II, L.P. and 117,015 shares sold by The Co-Investment 2000 Fund, L.P. (collectively with Cross Atlantic Technology Fund II, 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.
Remarks
The Reporting Person disclaims beneficial ownership of the shares held by the Funds except to the extent of the Reporting Person's own pecuniary interest therein. The Reporting Person resigned as a director of the Issuer on November 16, 2017.