Initial Statement of Beneficial Ownership (3)

Date : 11/19/2019 @ 4:54PM
Source : Edgar (US Regulatory)
Stock : Rubicon Technology Inc (RBCN)
Quote : 8.05  -0.14 (-1.71%) @ 8:59PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Rich Mathew Jason
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/18/2019 

3. Issuer Name and Ticker or Trading Symbol

Rubicon Technology, Inc. [RBCN]
(Last)        (First)        (Middle)

C/O RUBICON TECHNOLOGY, INC., 900 EAST GREEN ST., UNIT A
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                          _____ 10% Owner
___X___ Officer (give title below)        _____ Other (specify below)
Chief Financial Officer /
(Street)

BENSENVILLE, IL 60106      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock 0 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit  (1)11/18/2022 Common Stock 9000  (2)D  

Explanation of Responses:
(1) One third of such units will vest if prior to November 18, 2022 the 15-trading day average closing price of the Company's common stock is greater than or equal to the target prices of $11.00, $12.50 and $14.00, respectively.
(2) Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Rich Mathew Jason
C/O RUBICON TECHNOLOGY, INC.
900 EAST GREEN ST., UNIT A
BENSENVILLE, IL 60106


Chief Financial Officer

Signatures
/s/ Mathew Rich11/18/2018
**Signature of Reporting PersonDate

Rubicon Technology (NASDAQ:RBCN)
Historical Stock Chart

1 Year : From Dec 2018 to Dec 2019

Click Here for more Rubicon Technology Charts.

Rubicon Technology (NASDAQ:RBCN)
Intraday Stock Chart

Today : Sunday 8 December 2019

Click Here for more Rubicon Technology Charts.

Latest RBCN Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.