SEC Form 4 · accession 0001213900-18-003159
Rubicon Technology, Inc. · RBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jefferson Gramm
Director
Period of report
Mar 16, 2018
Accepted (ET)
Mar 19, 2018 · 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 | Mar 16, 2018 | A | 626 | $0.00 | A | 1,230 | D | |
| Common StockF2 | holding | — | — | — | 258,256 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 16, 2018, 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 at the date of the 2018 Annual Meeting of Stockholders.
- F2Consists of securities directly held by Bandera Master Fund L.P. ("Bandera Master Fund"). Bandera Master Fund has delegated to Bandera Partners LLC ("Bandera Partners"), its investment manager, the sole and exclusive authority to vote and dispose of the securities held by Bandera Master Fund. Mr. Gramm, solely by virtue of his position as a Managing Partner, Managing Director and Portfolio Manager of Bandera Partners, may be deemed to beneficially own the securities held by Bandera Master Fund. Mr Gramm expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.