Home > Insider Trading > Filing (0001213900-13-001331)

Filing Details

Accession Number:: 0001213900-13-001331
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-03-26 15:11:42
Reporting Period:: 2013-03-22

Filing Date:: 2013-03-26
Accepted Time:: 2013-03-26 15:11:42
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1410172	Rubicon Technology Inc.	RBCN	Semiconductors & Related Devices (3674)	364419301

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1102188	P L Fund Technology Atlantic Cross	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1113583	Co Investment 2000 Fund Lp	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1165410	Cross Atlantic Technology Fund Ii Lp	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1252434	Cross Atlantic Capital Partners Ii Inc	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1254180	Xatf Management Ii Lp	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1297591	Co-Invest Capital Partners Inc	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1297592	Co-Invest Management Lp	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1418340	Cross Atlantic Capital Partners, Inc.	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No
1418345	Xatf Management, L.p.	Five Radnor Corporate Center, Suite 555 100 Matsonford Road Radnor PA 19087	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2013-03-22	81,681	$6.04	5,304,742	No	4	S	Direct
Common Stock	Disposition	2013-03-25	200,000	$6.25	5,104,742	No	4	S	Direct
Common Stock	Disposition	2013-03-26	100,000	$6.67	5,004,742	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	15,781	Indirect	See footnotes.

Footnotes

These securities are held by Donald R. Caldwell ("Caldwell"), a director of the Issuer, who is the owner and director of Cross Atlantic Capital Partners, Inc., which is the general partner of XATF Management L.P., which is the general partner of Cross Atlantic Technology Fund, L.P. Caldwell 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. Caldwell 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. Cross Atlantic Technology Fund, L.P, Cross Atlantic Technology Fund II, L.P. and The Co-Investment 2000 Fund, L.P. are collectively referred to as the "Funds". (Continued in footnote 2)
Under the terms of the applicable partnership agreements of the Funds, Caldwell is deemed to hold these securities for the benefit of the Funds, which are entitled to receive the net economic benefit of the securities as a credit against the management fees owed by the funds to Cross Atlantic Capital Partners, Inc. The Funds disclaim beneficial ownership of the securities except to the extent of their pecuniary interest therein.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.05 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth within the ranges set forth in the footnotes to this Form 4.
Consists of shares directly held by the Funds as follows: Cross Atlantic Technology Fund, L.P. holds 586,891 shares of common stock, Cross Atlantic Technology Fund II, L.P. holds 2,230,198 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 2,487,653 shares of common stock.
Sale(s) effected pusuant to a Rule 10b5-1 trading plan adopted on February 25, 2013.
Consists of shares directly held by the Funds as follows: Cross Atlantic Technology Fund, L.P. holds 386,891 shares of common stock, Cross Atlantic Technology Fund II, L.P. holds 2,230,198 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 2,487,653 shares of common stock.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.50 to $6.80 inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth within the ranges set forth in this footnote.
Cross Atlantic Technology Fund, L.P. holds 286,891 shares of common stock, Cross Atlantic Technology Fund II, L.P. holds 2,230,198 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 2,487,653 shares of common stock.