-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, O19r2BtMqXey1lNq6m/vYYOrIoilo5i7G+e3kd4UgzvSEpnYKKBOJt9wou1MOuku ElcTmO12J91arokxPdWJIw== 0001181431-09-013225.txt : 20090303 0001181431-09-013225.hdr.sgml : 20090303 20090303193644 ACCESSION NUMBER: 0001181431-09-013225 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090227 FILED AS OF DATE: 20090303 DATE AS OF CHANGE: 20090303 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: 09653487 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: 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: 09653488 MAIL ADDRESS: STREET 1: 100 MATSONFORD RD STE 555 CITY: REDMAR 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: 09653489 MAIL ADDRESS: STREET 1: 5 RADNOR CORPORATE CENTER STREET 2: STE 555 CITY: RADNOR STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CROSS ATLANTIC TECHNOLOGY FUND L P CENTRAL INDEX KEY: 0001102188 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 09653492 BUSINESS ADDRESS: STREET 1: 100 MATSONFORD RD CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: 6109952650 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: 09653490 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: 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: 09653485 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: 09653486 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: Cross Atlantic Capital Partners, Inc. CENTRAL INDEX KEY: 0001418340 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 09653493 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: FIVE RADNOR CORPORATE CENTER, SUITE 555 STREET 2: 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: XATF Management, L.P. CENTRAL INDEX KEY: 0001418345 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33834 FILM NUMBER: 09653491 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: FIVE RADNOR CORPORATE CENTER, SUITE 555 STREET 2: 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 4 1 rrd236106.xml FORM 4 X0303 4 2009-02-27 0 0001410172 Rubicon Technology, Inc. RBCN 0001418340 Cross Atlantic Capital Partners, Inc. FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 0001102188 CROSS ATLANTIC TECHNOLOGY FUND L P FIVE RADNOR CORPORATE CENTER, SUITE 555 100 MATSONFORD ROAD RADNOR PA 19087 0 0 1 0 0001418345 XATF Management, L.P. 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 0001252434 CROSS ATLANTIC CAPITAL PARTNERS II INC 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 Stock Option (Right to Buy) 4.01 2009-02-27 4 J 0 13964 0 A 2019-02-27 Common Stock 13964 13964 I See footnotes Options vest at the rate of 25% of the total option grant at the end of each quarter of fiscal 2009 (March 31, 2009, June 30, 2009, September 30, 2009 and December 31, 2009). These options were granted to Donald R. Caldwell (?Caldwell?), a director of the Issuer, who is the owner and director of Cross Atlantic Capital Partners, Inc., which is the general partner of XATF Management L.P., which is the general partner of Cross Atlantic Technology Fund, L.P. Caldwell 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. 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. Cross Atlantic Technology Fund, L.P, Cross Atlantic Technology Fund, II, L.P. and The Co-Investment 2000 Fund, L.P. are collectively referred to as the ?Funds?. ( Continued footnote 3 ). Under the terms of the applicable partnership agreements of the Funds, Caldwell is deemed to hold these options for the benefit of the Funds, which are entitled to receive the net economic benefit of the options as a credit against the management fees owed by the funds to Cross Atlantic Capital Partners, Inc. The Funds disclaim beneficial ownership of the options except to the extent of their pecuniary interest therein. /s/ Scott Glickson, attorney-in-fact 2009-03-03 -----END PRIVACY-ENHANCED MESSAGE-----