Initial Statement of Beneficial Ownership (3)
March 22 2021 - 7:01AM
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
*
Lusardi Kevin Timothy |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/17/2021
|
3. Issuer Name and Ticker or Trading Symbol
Rubicon Technology, Inc. [RBCN]
|
(Last)
(First)
(Middle)
124 RITCH AVE W APT 104B |
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)
GREENWICH, CT 06830
(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 | 0 | D | |
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 |
Restricted Stock Unit | (1) | 3/17/2024 | Common Stock | 9000 | (2) | D | |
Explanation of Responses: |
(1) | One third of such units will vest if prior to March 17, 2024 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
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lusardi Kevin Timothy 124 RITCH AVE W APT 104B GREENWICH, CT 06830 |
|
| Chief Financial Officer |
|
Signatures
|
/s/ Kevin T. Lusardi | | 3/19/2021 |
**Signature of Reporting Person | Date |
Rubicon Technology (NASDAQ:RBCN)
Historical Stock Chart
From Apr 2024 to May 2024
Rubicon Technology (NASDAQ:RBCN)
Historical Stock Chart
From May 2023 to May 2024
Real-Time news about Rubicon Technology Inc (NASDAQ): 0 recent articles
More Rubicon Technology, Inc. News Articles