Initial Statement of Beneficial Ownership (3)
November 19 2019 - 11:54AM
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
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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
*
Rich Mathew Jason |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/18/2019
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3. Issuer Name and Ticker or Trading Symbol
Rubicon Technology, Inc. [RBCN]
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(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
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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 | 0 | D | |
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 |
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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rich Mathew Jason C/O RUBICON TECHNOLOGY, INC. 900 EAST GREEN ST., UNIT A BENSENVILLE, IL 60106 |
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| Chief Financial Officer |
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Signatures
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/s/ Mathew Rich | | 11/18/2018 |
**Signature of Reporting Person | Date |
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