SEC Form 4 · accession 0001213900-18-000124
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
Jan 3, 2018
Accepted (ET)
Jan 4, 2018 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001410172
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1 | — | Jan 3, 2018 | A | 444 | A | — | Apr 1, 2018 | Common Stock | 444 | 444 | D |
| Restricted Stock UnitsF3,F1 | — | Jan 3, 2018 | A | 444 | A | — | Jul 1, 2018 | Common Stock | 444 | 444 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents or represented a contingent right to receive one share of the Company's common stock.
- F2On January 3, 2018, the reporting person was granted 444 restricted stock units which vest on April 1, 2018, provided the reporting person remains employed with the Company thru such date.
- F3On January 3, 2018, the reporting person was granted 444 restricted stock units which vest on July 1, 2018, provided the reporting person remains employed with the Company thru such date.