Aquilano Don N 4
4 · Rubicon Technology, Inc. · Filed Dec 21, 2009
Insider Transaction Report
Form 4
Aquilano Don N
Director
Transactions
- Exercise/Conversion
Common Stock
2009-12-17$3.65/sh+55,144$201,154→ 385,199 total(indirect: See Footnote) - Exercise/Conversion
Common Stock Warrants (Right to Buy)
2009-12-17−47,863→ 0 total(indirect: See Footnote)Exercise: $3.65From: 2007-11-21Exp: 2015-12-15→ Common Stock (47,863 underlying) - Tax Payment
Common Stock
2009-12-17$17.88/sh−11,259$201,266→ 373,940 total(indirect: See Footnote) - Exercise/Conversion
Common Stock Warrants (Right to Buy
2009-12-17−7,281→ 0 total(indirect: See Footnote)Exercise: $3.65From: 2007-11-21Exp: 2016-01-27→ Common Stock (7,281 underlying)
Holdings
- 5,769
Common Stock
Footnotes (1)
- [F1]The Common Stock Warrants were held and converted, on a net issuance basis, into 43,885 shares of Common Stock by Gazelle TechVentures Fund L.P. and Gazelle Co-Investment Fund, L.P. (the "Gazelle Funds"). The Reporting Person, a director of the issuer, is the managing director and president of Gazelle TechVentures, Inc., which is the manager of Monument Technology Partners, LLC, which is the general partner of the Gazelle Funds. The Reporting Person disclaims beneficial ownership of the shares held by the Gazelle Funds except to the extent of the Reporting Person's pecuniary interest in the shares.