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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1410172	Rubicon Technology Inc.	RBCN	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1211700	R Donald Caldwell	150 Radnor Chester Rd, Suite A225 Radnor PA 19087		Yes	No	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2017-11-16	221,784	$8.00	0	No	4	S	Indirect	See Note

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	13,900	Direct

Footnotes

Includes 13,190 shares held for the benefit of the Funds (as defined below), 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, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
Consists of 104,769 shares sold by Cross Atlantic Technology Fund II, L.P. and 117,015 shares sold by The Co-Investment 2000 Fund, L.P. (collectively with Cross Atlantic Technology Fund II, L.P, the "Funds"). The Reporting Person is the owner and director of Cross Atlantic Capital Partners, Inc., which is the investment manager for each of 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.