RUBICON TECHNOLOGY, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-12-28: Reporting owner Brog Timothy; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-06-24: Reporting owner MIKOLAJCZYK MICHAEL E; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-06-24: Reporting owner Westphal Susan; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-06-24: Reporting owner Gramm Jefferson; Form 4; Security Restricted Stock Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2021-12-28 | Brog Timothy Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | no price filed | 2021-12-29 | |
| 2021-06-24 | MIKOLAJCZYK MICHAEL E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,010 1,010 owned after | $9.90 | 2021-06-28 | |
| 2021-06-24 | Westphal Susan Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,010 1,010 owned after | $9.90 | 2021-06-28 | |
| 2021-06-24 | Gramm Jefferson Director, 10% Owner | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,010 1,010 owned after | $9.90 | 2021-06-28 | |
| 2021-03-22 holding as of filing | Lusardi Kevin Timothy Officer (Chief Financial Officer) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2021-03-22 | ||
| 2020-07-16 | Gramm Jefferson Director, 10% Owner | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 1,250 owned after | $8.00 | 2020-09-15 | |
| 2020-07-16 | MIKOLAJCZYK MICHAEL E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 1,250 owned after | $8.00 | 2020-09-15 | |
| 2020-07-16 | Westphal Susan Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 1,250 owned after | $8.00 | 2020-09-15 | |
| 2019-11-19 holding as of filing | Rich Mathew Jason Officer (Chief Financial Officer) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2019-11-19 | ||
| 2019-05-30 | Gramm Jefferson Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,199 1,199 owned after | $8.34 | 2019-06-04 | |
| 2019-05-30 | Westphal Susan Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,199 1,199 owned after | $8.34 | 2019-06-03 | |
| 2019-05-30 | MIKOLAJCZYK MICHAEL E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,199 1,199 owned after | $8.34 | 2019-06-03 | |
| 2018-06-06 holding as of filing | Slavutsky Inga A Officer (Chief Financial Officer) | 3 | Restricted Stock Unit Derivative · Direct | Holding | no price filed | 2018-06-06 | ||
| 2018-05-10 | Westphal Susan Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,391 1,391 owned after | $7.19 | 2018-05-14 | |
| 2018-05-10 | MIKOLAJCZYK MICHAEL E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,391 1,391 owned after | $7.19 | 2018-05-14 | |
| 2018-05-10 | Gramm Jefferson Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,391 1,391 owned after | $7.19 | 2018-05-14 | |
| 2018-01-03 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +444 444 owned after | no price filed | 2018-01-04 | |
| 2018-01-03 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +444 444 owned after | no price filed | 2018-01-04 | |
| 2018-01-01 | Brog Timothy Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,902 45,000 owned after | no price filed | 2018-01-02 | |
| 2017-11-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −299 0 owned after | $0.00 | 2017-11-02 | |
| 2017-11-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −115 0 owned after | $0.00 | 2017-11-02 | |
| 2017-05-12 | Brog Timothy Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | −30,902 29,098 owned after | no price filed | 2017-05-15 | |
| 2017-03-15 | Brog Timothy Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 900,000 owned after | no price filed | 2017-03-17 | |
| 2016-12-31 | Tamim Hany Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,333 0 owned after | $0.00 | 2017-01-04 | |
| 2016-11-01 | Tamim Hany Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,667 33,333 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,990 2,990 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,155 1,155 owned after | $0.00 | 2016-11-03 | |
| 2015-11-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,991 5,980 owned after | $0.00 | 2015-11-03 | |
| 2015-11-01 | Graffy Mardel A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,155 2,310 owned after | $0.00 | 2015-11-03 | |
| 2015-11-01 | Tamim Hany Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.00 | 2015-11-03 | |
| 2014-11-01 | Graffy Mardel A Officer (VP - Financial Operations) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,156 3,465 owned after | $0.00 | 2014-11-04 | |
| 2014-11-01 | Graffy Mardel A Officer (VP - Financial Operations) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,971 8,971 owned after | $0.00 | 2014-11-04 | |
| 2014-09-23 holding as of filing | Graffy Mardel A Officer (VP - Financial Operations) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2014-09-23 |