Initial Statement of Beneficial Ownership (3)
August 29 2022 - 6:09PM
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
*
Seirer Darren Clay |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/19/2022
|
3. Issuer Name and Ticker or Trading Symbol
Rubicon Technology, Inc. [RBCN]
|
(Last)
(First)
(Middle)
80 EIGHTH AVENUE, SUITE 1500 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Street)
NEW YORK, NY 10011
(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 | 451842 (1) | I (1) | See Footnote (1) |
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) | No securities are beneficially owned by the Reporting Person. The Reporting Person serves as a director of the Issuer at the request of the beneficial owner of 1,108,000 shares of the Issuer's outstanding Common Stock, and the Reporting Person's spouse is a director, president and CEO of such shareholder and is the indirect beneficial owner of 40.78% of such shareholder's outstanding common stock. The Reporting Person disclaims beneficial ownership of any interest in the Issuer held by such shareholder and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or any other purpose. |
Remarks: Exhibit List: Exhibit 24 - Section 16 Power of Attorney_D. Seirer |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Seirer Darren Clay 80 EIGHTH AVENUE, SUITE 1500 NEW YORK, NY 10011 | X | X |
|
|
Signatures
|
/s/ Darren Seirer | | 8/29/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Rubicon Technology (NASDAQ:RBCN)
Historical Stock Chart
From Oct 2024 to Nov 2024
Rubicon Technology (NASDAQ:RBCN)
Historical Stock Chart
From Nov 2023 to Nov 2024