0001213900-13-002084.txt : 20130429
0001213900-13-002084.hdr.sgml : 20130427
20130429151441
ACCESSION NUMBER: 0001213900-13-002084
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130425
FILED AS OF DATE: 20130429
DATE AS OF CHANGE: 20130429
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: 13791309
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: 13791310
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: 13791311
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: 13791314
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: 13791312
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: 13791307
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: 13791308
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: 13791315
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: 13791313
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
f4042913rossatl_rubicon.xml
OWNERSHIP DOCUMENT
X0306
4
2013-04-25
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
Common Stock
15781
I
See footnotes.
Common Stock
2013-04-25
4
S
0
225000
7.4506
D
4779742
D
Common Stock
2013-04-26
4
S
0
61891
7.5279
D
4717851
D
These securities are held by 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 in footnote 2)
Under the terms of the applicable partnership agreements of the Funds, Caldwell is deemed to hold these securities for the benefit of the Funds, which are entitled to receive the net economic benefit of the securities as a credit against the management fees owed by the funds to Cross Atlantic Capital Partners, Inc. The Funds disclaim beneficial ownership of the securities except to the extent of their pecuniary interest therein.
Sales effected pursuant to a Rule 10b5-1 trading plan adopted on February 25, 2013.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.20 to $7.80 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth within the ranges set forth in the footnotes to this Form 4.
Consists of shares directly held by the Funds as follows: Cross Atlantic Technology Fund, L.P. holds 61,891 shares of common stock, Cross Atlantic Technology Fund II, L.P. holds 2,230,198 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 2,487,653 shares of common stock.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.35 to $7.658 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth within the ranges set forth in the footnotes to this Form 4.
Consists of shares directly held by the Funds as follows: Cross Atlantic Technology Fund II, L.P. holds 2,230,198 shares of common stock and The Co-Investment 2000 Fund, L.P. holds 2,487,653 shares of common stock.
/s/ Donald R. Caldwell, Authorized Officer
2013-04-29