RUBICON TECHNOLOGY, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 71 rows, 71 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-06-06: Reporting owner Slavutsky Inga A; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2015-12-01: Reporting owner Graffy Mardel A; Form 4/A; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-12-01: Reporting owner Weissman William F; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-12-01: Reporting owner Graffy Mardel A; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-06-06 holding as of filing | Slavutsky Inga A Officer (Chief Financial Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $6.10 exercise price | 2018-06-06 | ||
| 2015-12-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +174,165 174,165 owned after | $1.00 exercise price | 2016-05-17 | |
| 2015-12-01 | Weissman William F Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +277,778 277,778 owned after | $1.00 exercise price | 2015-12-02 | |
| 2015-12-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +217,706 217,706 owned after | $1.00 exercise price | 2015-12-02 | |
| 2015-10-31 | Tamim Hany Officer (Chief Operating Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.10 exercise price | 2015-11-03 | |
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.94 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.78 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $8.45 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $8.45 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $18.50 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.01 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $32.67 exercise price | 2014-09-23 | ||
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $10.19 exercise price | 2014-09-23 | ||
| 2014-09-19 | Graffy Mardel A Officer (VP - Financial Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $5.12 exercise price | 2014-09-23 | |
| 2014-09-17 | Aquilano Don N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $5.20 exercise price | 2014-09-19 | |
| 2014-09-17 | Weissman William F Officer (Pres., CEO, CFO, Treas. & Sec.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $5.20 exercise price | 2014-09-19 | |
| 2013-12-31 | Weissman William F Officer (CFO, Treasurer and Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,455 23,455 owned after | $7.97 exercise price | 2014-07-03 | |
| 2013-12-31 | Parvez Raja M Director, Officer (President/CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +46,910 46,910 owned after | $7.97 exercise price | 2014-07-03 | |
| 2010-06-30 | Spencer Raymond J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +155 155 owned after | $29.79 exercise price | 2011-03-30 | |
| 2010-06-15 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −121,021 0 owned after | $0.91 exercise price | 2010-06-21 | |
| 2010-06-15 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 225,000 owned after | $4.01 exercise price | 2010-06-21 | |
| 2010-06-15 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,596 136,942 owned after | $8.45 exercise price | 2010-06-21 | |
| 2010-06-15 | Weissman William F Officer (CFO, Treasurer and Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,871 1,513 owned after | $8.45 exercise price | 2010-06-18 | |
| 2010-06-15 | Weissman William F Officer (CFO, Treasurer and Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 75,000 owned after | $4.01 exercise price | 2010-06-18 | |
| 2010-06-15 | Weissman William F Officer (CFO, Treasurer and Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −95,174 95,174 owned after | $8,345.00 exercise price | 2010-06-18 | |
| 2010-06-15 | MIKOLAJCZYK MICHAEL E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,653 0 owned after | $8.45 exercise price | 2010-06-18 | |
| 2010-04-01 | Co-Invest Capital Partners Inc | CO INVESTMENT 2000 FUND LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | Co-Invest Management LP | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF MANAGEMENT II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | XATF Management, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +823 823 owned after | $20.20 exercise price | 2012-02-10 | |
| 2010-04-01 | Spencer Raymond J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +716 716 owned after | $20.20 exercise price | 2010-06-08 | |
| 2010-04-01 | HUNTER GORDON Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +796 796 owned after | $20.20 exercise price | 2010-06-08 | |
| 2010-04-01 | MIKOLAJCZYK MICHAEL E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +779 779 owned after | $20.20 exercise price | 2010-06-08 | |
| 2010-04-01 | Aquilano Don N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +806 806 owned after | $20.20 exercise price | 2010-06-08 | |
| 2010-04-01 | CALDWELL DONALD R Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +823 823 owned after | $20.20 exercise price | 2010-06-08 | |
| 2010-03-30 | Co-Invest Capital Partners Inc | CO INVESTMENT 2000 FUND LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | Co-Invest Management LP | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF MANAGEMENT II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | XATF Management, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +2,800 2,800 owned after | $19.49 exercise price | 2012-02-10 | |
| 2010-03-30 | Spencer Raymond J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,625 2,625 owned after | $19.49 exercise price | 2010-04-01 | |
| 2010-03-30 | Aquilano Don N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,800 2,800 owned after | $19.49 exercise price | 2010-04-01 | |
| 2010-03-30 | HUNTER GORDON Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,900 2,900 owned after | $19.49 exercise price | 2010-04-01 | |
| 2010-03-30 | MIKOLAJCZYK MICHAEL E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,126 3,126 owned after | $19.49 exercise price | 2010-04-01 | |
| 2010-03-30 | CALDWELL DONALD R Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,800 2,800 owned after | $19.49 exercise price | 2010-04-01 | |
| 2009-12-28 | HUNTER GORDON Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,231 7,231 owned after | $4.01 | 2009-12-28 | |
| 2009-12-08 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $19.21 exercise price | 2010-03-30 | |
| 2009-12-08 | Weissman William F Officer (CFO, Treasurer and Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $19.21 exercise price | 2010-03-30 | |
| 2009-08-25 | HUNTER GORDON Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,480 0 owned after | $4.94 | 2009-08-31 | |
| 2009-02-27 | Hewes Happy R Officer (SVP-Sales, Mkt. & Asst. Sec.) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | Weissman William F Officer (CFO, Treasurer and Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | MIKOLAJCZYK MICHAEL E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,586 15,586 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | CALDWELL DONALD R Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,964 13,964 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | Spencer Raymond J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,092 13,092 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | HUNTER GORDON Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,462 14,462 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Co-Invest Management LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | Co-Invest Capital Partners Inc | Cross Atlantic Capital Partners, Inc. | CO INVESTMENT 2000 FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +13,964 13,964 owned after | $4.01 exercise price | 2009-03-03 | |
| 2009-02-27 | Aquilano Don N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,964 13,964 owned after | $4.01 exercise price | 2009-03-03 | |
| 2008-05-08 | Hewes Happy R Officer (SVP-Sales, Mkt. & Asst. Sec.) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,846 86,538 owned after | $0.78 exercise price | 2008-05-12 | |
| 2008-05-08 | Hewes Happy R Officer (SVP-Sales, Mkt. & Asst. Sec.) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,961 3,654 owned after | $4.94 exercise price | 2008-05-12 | |
| 2008-05-08 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150,000 121,021 owned after | $0.91 exercise price | 2008-05-12 | |
| 2008-04-16 | MIKOLAJCZYK MICHAEL E Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,961 0 owned after | $4.94 exercise price | 2008-04-18 | |
| 2007-11-21 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +107,692 107,692 owned after | $14.00 exercise price | 2007-11-26 | |
| 2007-11-15 holding as of filing | Hewes Happy R Officer (SVP-Sales, Mkt. & Asst. Sec.) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.94 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Hewes Happy R Officer (SVP-Sales, Mkt. & Asst. Sec.) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.94 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Hewes Happy R Officer (SVP-Sales, Mkt. & Asst. Sec.) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.78 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Hewes Happy R Officer (SVP-Sales, Mkt. & Asst. Sec.) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.45 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $8.45 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $4.94 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Stock Option (Right to Buy) Derivative · Indirect · (m) | Holding | $4.94 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Stock Option (Right to Buy) Derivative · Indirect · (m) | Holding | $0.78 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Weissman William F Officer (CFO, Treasurer and Secretary) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.45 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Weissman William F Officer (CFO, Treasurer and Secretary) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.45 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Parvez Raja M Director, Officer (President, CEO & Director) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.91 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Parvez Raja M Director, Officer (President, CEO & Director) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $8.45 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | HUNTER GORDON Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $4.94 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | HUNTER GORDON Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $8.45 exercise price | 2007-11-15 | ||
| 2007-09-28 | Parvez Raja M Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | G Bona fide gift | −200,000 271,021 owned after | $0.91 exercise price | 2007-11-26 |