Initial Statement of Beneficial Ownership (3)
September 14 2020 - 5:06PM
Edgar (US Regulatory)
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
*
Bandera Partners LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/14/2020
|
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)
|
(Street)
NEW YORK, NY 10004
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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
|
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)
|
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
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bandera Partners LLC 50 BROAD STREET, SUITE 1820 NEW YORK, NY 10004 |
| X |
|
|
Bylinsky Gregory C/O BANDERA PARTNERS LLC 50 BROAD STREET, SUITE 1820 NEW YORK, NY 10004 |
| X |
|
|
Signatures
|
/s/ Gregory Bylinsky, Managing Director, on behalf of Bandera Partners LLC | | 9/14/2020 |
**Signature of Reporting Person | Date |
/s/ Gregory Bylinsky | | 9/14/2020 |
**Signature of Reporting Person | Date |
Rubicon Technology (NASDAQ:RBCN)
Historical Stock Chart
From Aug 2024 to Sep 2024
Rubicon Technology (NASDAQ:RBCN)
Historical Stock Chart
From Sep 2023 to Sep 2024