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Filing Details

Accession Number:: 0001213900-14-001709
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-03-25 13:44:34
Reporting Period:: 2014-03-24

Filing Date:: 2014-03-25
Accepted Time:: 2014-03-25 13:44:34
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	Insider Title	Director	Officer	Large Shareholder	Other
1211700	R Donald Caldwell	C/O Rubicon Technology Inc. 900 East Green St. Unit A Bensenville IL 60106		Yes	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	Explanation
Common Stock	Disposition	2014-03-24	2,500,000	$12.42	2,217,851	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See footnote

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	26,863	Direct

Footnotes

Consists of shares held by Cross Atlantic Technology Fund, II, L.P. and The Co-Investment 2000 Fund, L.P. (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.
As part of the issuer's secondary offering, Cross Atlantic Technology Fund II, L.P. sold 1,182,500 shares of its common stock and The Co-Investment 2000 Fund L.P. sold 1,317,500 shares of its common stock.
After the sale of shares in the issuer's secondary offering, Cross Atlantic Technology Fund II, L.P. holds 1,047,698 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 1,170,153 shares of common stock. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
Includes 3,982 shares of restricted stock pursuant to grants that vest according to the following schedule: 995 shares vest on March 31, 2014, 995 shares vest on June 30, 2014, 996 shares vest on September 30, 2014 and 996 shares vest on December 31, 2014.
Under the terms of the applicable partnership agreements of the Funds, the Reporting Person is deemed to hold 19,763 shares (including the restricted stock described in footnote (4)) for the benefit of the Funds, 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 II, Inc. and Co-Invest Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.