Initial Statement of Beneficial Ownership (3)
September 14 2020 - 05:06PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Bandera
Partners LLC |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
5/14/2020
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3. Issuer Name and Ticker or Trading
Symbol Rubicon Technology, Inc. [RBCN] |
(Last)
(First)
(Middle)
50 BROAD STREET, SUITE 1820, |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director ___X___
10% Owner
_____ Officer (give title
below) _____
Other (specify below)
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(Street)
NEW
YORK, NY 10004
(City)
(State)
(Zip)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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6. Individual or Joint/Group
Filing(Check Applicable
Line)___ Form filed by One Reporting
Person
_X_ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially
Owned
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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 (1) |
258256 |
I |
See footnote (2) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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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
Security |
5. Ownership Form of Derivative Security: Direct (D)
or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
This Form 3 is filed jointly
by Bandera Partners LLC ("Bandera Partners") and Gregory Bylinsky
(collectively, the "Reporting Persons"). Each of the Reporting
Persons may be deemed to be a member of a Section 13(d) group that
collectively beneficially owns more than 10% of the Issuer's
outstanding shares of Common Stock. Each of the Reporting Persons
disclaims beneficial ownership of the securities reported herein
except to the extent of his or its pecuniary interest
therein. |
(2) |
Bandera Partners is the
investment manager of Bandera Master Fund L.P. ("Bandera Master
Fund"), in whose name the shares are held. Mr. Bylinsky is a
Managing Partner, Managing Director and Portfolio Manager of
Bandera Partners. Bandera Master Fund has delegated to Bandera
Partners the sole and exclusive authority to vote and dispose of
the securities held by Bandera Master Fund. As a result, each of
Bandera Partners and Mr. Bylinsky may be deemed to beneficially own
the shares held by Bandera Master Fund. |
Remarks:
This filing was triggered as a result of a reduction in the number
of outstanding shares of Common Stock of the Issuer. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Bandera Partners LLC
50 BROAD STREET, SUITE 1820
NEW YORK, NY 10004 |
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X |
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Bylinsky Gregory
C/O BANDERA PARTNERS LLC
50 BROAD STREET, SUITE 1820
NEW YORK, NY 10004 |
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X |
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Signatures
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/s/ Gregory Bylinsky, Managing Director, on
behalf of Bandera Partners LLC |
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9/14/2020 |
**Signature of Reporting
Person |
Date |
/s/ Gregory Bylinsky |
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9/14/2020 |
**Signature of Reporting
Person |
Date |