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