Page 4 of 8 – SEC Filing
CUSIP No. 78112T206
Item 1. Security and Issuer
This Statement on Schedule 13D (this “Statement”) relates to the shares of the common stock, $0.001 par value per share (the “Shares”), of Rubicon Technology, Inc. a Delaware Corporation (the “Company” or the “Issuer”), whose principal executive offices are located at 900 East Green Street, Bensenville, Illinois 60106.
Item 2. Identity and Background
(a-c, f) This Statement is being filed on behalf of Aldebaran Capital, LLC (“Aldebaran”), an Indiana limited liability company, and Kenneth R. Skarbeck, collectively with Aldebaran, (the “Reporting Persons”).
Aldebaran is an investment advisory firm that acts as advisor to individuals and institutions. Kenneth R. Skarbeck is a United States citizen and serves as president and a managing member of Aldebaran.
The principal business address of the Reporting Persons is 10293 N. Meridian Street, Suite 100, Indianapolis, Indiana 46290.
(d) None of the Reporting Persons has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
(e) None of the Reporting Persons has, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration
The Shares held in the Aldebaran Capital Accounts were purchased in the open market and paid for using the personal funds of its advisory clients. No borrowed funds were used to purchase the Shares. The aggregate purchase price of the 160,373 Shares held in Aldebaran Capital Accounts is approximately $1,521,940, including brokerage commissions. Included in the 160,373 Shares held in Aldebaran Capital Accounts are 3,770 Shares beneficially held in family accounts related to Kenneth R. Skarbeck. The aggregate purchase price of the 3,770 Shares beneficially held in family accounts by Kenneth R. Skarbeck is $27,592 and were paid for using personal funds.
Item 4. Purpose of Transaction
The Reporting Persons have acquired their Shares in the Issuer for investment purposes and will evaluate their investment in the Shares on a continuing basis. Depending on business and market conditions, their continuing evaluation of the business and prospects of the Issuer and other factors, the Reporting Persons may increase or decrease their position in the Issuer through, among other things, purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons deem advisable.
Except as set forth herein, the Reporting Persons have no present plans or specific proposals that relate to or that would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. However, the Reporting Persons reserve the right, at any time in the future and from time to time, to consider various courses of action that relate to or that would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. As a part of monitoring their investments, the Reporting Persons may also, from time
to time, seek to meet with and engage in discussions with the Issuer’s management and directors as well as with other holders of the Shares.
