0001213900-14-001715.txt : 20140325 0001213900-14-001715.hdr.sgml : 20140325 20140325135841 ACCESSION NUMBER: 0001213900-14-001715 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140324 FILED AS OF DATE: 20140325 DATE AS OF CHANGE: 20140325 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Rubicon Technology, Inc. CENTRAL INDEX KEY: 0001410172 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 364419301 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9931 FRANKLIN AVENUE CITY: FRANKLIN PARK STATE: IL ZIP: 60131 BUSINESS PHONE: (847) 295-7000 MAIL ADDRESS: STREET 1: 9931 FRANKLIN AVENUE CITY: FRANKLIN PARK STATE: IL ZIP: 60131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CROSS ATLANTIC TECHNOLOGY FUND II LP CENTRAL INDEX KEY: 0001165410 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 14715468 BUSINESS ADDRESS: STREET 1: FIVE RADNOR CORPORATE CENTER SUITE 555 STREET 2: 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: 610 995 2650 MAIL ADDRESS: STREET 1: 5 RANDOR CORPORATE CENTER STE 555 CITY: RANDNOR STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CROSS ATLANTIC CAPITAL PARTNERS II INC CENTRAL INDEX KEY: 0001252434 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 14715469 MAIL ADDRESS: STREET 1: 100 MATSONFORD RD STE 555 CITY: REDMAR STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Co-Invest Capital Partners Inc CENTRAL INDEX KEY: 0001297591 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 14715470 BUSINESS ADDRESS: STREET 1: 5 RADNOR CORPORATE CENTER, SUITE 555 STREET 2: 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: 610-995-2650 MAIL ADDRESS: STREET 1: 5 RADNOR CORPORATE CENTER, SUITE 555 STREET 2: 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Co-Invest Management LP CENTRAL INDEX KEY: 0001297592 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 14715471 BUSINESS ADDRESS: STREET 1: 5 RADNOR CORPORATE CENTER, SUITE 555 STREET 2: 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: 610-995-2650 MAIL ADDRESS: STREET 1: 5 RADNOR CORPORATE CENTER, SUITE 555 STREET 2: 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CO INVESTMENT 2000 FUND LP CENTRAL INDEX KEY: 0001113583 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 14715472 BUSINESS ADDRESS: STREET 1: 5 RADNOR CORPORATE CENTER STREET 2: SUITE 555 CITY: RADNOR STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: XATF MANAGEMENT II LP CENTRAL INDEX KEY: 0001254180 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 14715473 MAIL ADDRESS: STREET 1: 5 RADNOR CORPORATE CENTER STREET 2: STE 555 CITY: RADNOR STATE: PA ZIP: 19087 4 1 f4032414cross_rubicon.xml OWNERSHIP DOCUMENT X0306 4 2014-03-24 1 0001410172 Rubicon Technology, Inc. RBCN 0001252434 CROSS ATLANTIC CAPITAL PARTNERS II INC FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 0001165410 CROSS ATLANTIC TECHNOLOGY FUND II LP FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 0001254180 XATF MANAGEMENT II LP FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 0001113583 CO INVESTMENT 2000 FUND LP FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 0001297592 Co-Invest Management LP FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 0001297591 Co-Invest Capital Partners Inc FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 Common Stock 2014-03-24 4 S 0 2500000 12.42 D 2217851 D Consists of shares held by Cross Atlantic Technology Fund II, L.P. and The Co-Investment 2000 Fund, L.P. Donald R. Caldwell, a director of the issuer, is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. Donald R. Caldwell is a shareholder, director and officer of Co-Invest Capital Partners, Inc., which is the general partner of Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. As part of the issuer's secondary offering, Cross Atlantic Technology Fund II, L.P. sold 1,182,500 shares of its common stock and The Co-Investment 2000 Fund L.P. sold 1,317,500 shares of its common stock. After the sale of shares in the issuer's secondary offering, Cross Atlantic Technology Fund II, L.P. holds 1,047,698 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 1,170,153 shares of common stock. /s/ Donald R. Caldwell 2014-03-25