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