RUBICON TECHNOLOGY, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-17: Reporting owner Aquilano Don N; Form 4; Security Common Stock Warrants (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-12-17: Reporting owner Aquilano Don N; Form 4; Security Common Stock Warrants (Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-11-21: Reporting owner CALDWELL DONALD R; Form 4; Security Common Stock Warrants; Transaction C Conversion of derivative security.
- 2007-11-21: Reporting owner CALDWELL DONALD R; Form 4; Security Common Stock Warrants; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-12-17 | Aquilano Don N Director | 4 | Common Stock Warrants (Right to Buy) Derivative · Indirect · See Footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −47,863 0 owned after | $3.65 exercise price | 2009-12-21 | |
| 2009-12-17 | Aquilano Don N Director | 4 | Common Stock Warrants (Right to Buy Derivative · Indirect · See Footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,281 0 owned after | $3.65 exercise price | 2009-12-21 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnotes | C Conversion of derivative security | +18,197 18,197 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnotes | C Conversion of derivative security | +18,197 18,197 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnotes | C Conversion of derivative security | +243,446 243,446 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnotes | C Conversion of derivative security | +24,380 24,380 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +18,642 18,642 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +18,642 18,642 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +47,863 47,863 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +7,281 7,281 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +18,197 18,197 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnote | C Conversion of derivative security | +18,197 18,197 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnote | C Conversion of derivative security | +243,446 243,446 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnote | C Conversion of derivative security | +24,380 24,380 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +18,642 18,642 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +18,642 18,642 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +47,863 47,863 owned after | $3.65 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Footnotes | C Conversion of derivative security | +7,281 7,281 owned after | $3.65 exercise price | 2007-11-26 |