Statement of Changes in Beneficial Ownership (4)
October 20 2020 - 5:29PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
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
*
Brog Timothy |
2. Issuer Name and Ticker or Trading Symbol
Rubicon Technology, Inc.
[
RBCN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
C/O RUBICON TECHNOLOGY, INC., 900 EAST GREEN STREET, UNIT A |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/19/2020 |
(Street)
BENSENVILLE, IL 60106
(City)
(State)
(Zip)
|
4. 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 Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 10/19/2020 | | M | | 17280 (1) | A | $0 | 92280 | D | |
Common Stock | 10/19/2020 | | F | | 5280 (2) | D | $8.50 | 87000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On October 19, 2020, Mr. Brog was granted 17,280 shares of Rubicon Technology, Inc. restricted common stock as part of his 2019 Objective Bonus. |
(2) | As permitted under the Company's 2016 Equity Incentive Plan, on October 20, 2020, the Company withheld 5,280 shares of common stock from the reporting person to pay certain FICA, Medicare, Income Withholding and other taxes in connection with the granting of the restricted common stock. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brog Timothy C/O RUBICON TECHNOLOGY, INC. 900 EAST GREEN STREET, UNIT A BENSENVILLE, IL 60106 | X |
| President and CEO |
|
Signatures
|
/s/ Timothy E. Brog | | 10/20/2020 |
**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