IPO registrations (S-1, F-1) · Registrants
Rubicon Technology, Inc.
- SEC CIK
- 1410172 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2007-09-05, last 2008-05-06; 2 initial registrations, 5 amendments
- Outcome
- Final prospectus filed 2007-11-16; declared effective 2007-11-15
- Industry (SIC)
- Semiconductors & Related Devices 3674
- Incorporated in
- DE
- Business address
- 900 EAST GREEN STREET, Bensenville, IL 60106
- EIN
- 36-4419301
- EDGAR entity type
- operating
- Insiders and CEO pay
- Rubicon Technology, Inc. on the corporate pages
Offering terms
- Proposed price range
- $12.00–$14.00 per share (S-1/A filed 2007-11-13)
- Final price
- $4.33 per share, below the range (424B4 filed 2007-11-16, an initial public offering)
- Shares sold
- 6,700,000 (5,500,000 by the company, 1,200,000 by selling holders)
- Gross proceeds
- $29,011,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol RBCN
- Lead underwriters
- UBS
- Syndicate
- Canaccord Genuity; CIBC World Markets; Janney Montgomery Scott
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: RUBICON TECHNOLOGY, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Form 5500 plan sponsor: RUBICON TECHNOLOGY, INC. EXACT (EIN (EXACT))
- Federal award recipient: RUBICON TECHNOLOGY, INC. Fuzzy (name and state)
- SEC filer: Rubicon Technology, Inc. EXACT (CIK (EXACT))
- Person page: Donald R Caldwell Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 13
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2007-09-05 | S-1 | S-1 (registration) | Rubicon Technology, Inc. | 0001193125-07-195384 ↗ |
| 2007-10-11 | S-1/A | S-1/A (amendment) | Rubicon Technology, Inc. | 0001193125-07-216985 ↗ |
| 2007-11-01 | S-1/A | S-1/A (amendment) | Rubicon Technology, Inc. | 0001193125-07-232424 ↗ |
| 2007-11-13 | S-1/A | S-1/A (amendment) | Rubicon Technology, Inc. | 0001193125-07-245524 ↗ |
| 2007-11-15 | EFFECT | EFFECT (declared effective) | Rubicon Technology, Inc. | 9999999995-07-004525 ↗ |
| 2007-11-16 | 424B4 | 424B4 (final prospectus) | Rubicon Technology, Inc. | 0001193125-07-249176 ↗ |
| 2008-04-11 | S-1 | S-1 (registration) | Rubicon Technology, Inc. | 0001193125-08-079920 ↗ |
| 2008-04-25 | S-1/A | S-1/A (amendment) | Rubicon Technology, Inc. | 0001193125-08-090298 ↗ |
| 2008-05-06 | S-1/A | S-1/A (amendment) | Rubicon Technology, Inc. | 0001193125-08-104046 ↗ |
| 2008-05-06 | EFFECT | EFFECT (declared effective) | Rubicon Technology, Inc. | 9999999995-08-001459 ↗ |
| 2008-05-07 | S-1MEF | S-1MEF (added securities) | Rubicon Technology, Inc. | 0001193125-08-104973 ↗ |
| 2008-05-07 | 424B4 | 424B4 (final prospectus) | Rubicon Technology, Inc. | 0001193125-08-105090 ↗ |
| 2010-01-25 | EFFECT | EFFECT (declared effective) | Rubicon Technology, Inc. | 9999999995-10-000314 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2007-11-13 | S-1/A | registration statement | $12.00–$14.00 | 6,700,000 | - | Nasdaq RBCN | 4 | primary document; range, shares headline, cover names 4 | document ↗ | |
| 2007-11-16 | 424B4 | final prospectus | $4.33 | 6,700,000 | $29,011,000 | Nasdaq RBCN | 4 | primary document; price line, shares headline, proceeds computed, cover names 4 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Aquilano Don N | Director; Director,TenPercentOwner | 29 | 2007–2017 | ||
| CALDWELL DONALD R | Director; Director,TenPercentOwner | 26 | 2007–2017 | person page Fuzzy | |
| CROSS ATLANTIC CAPITAL PARTNERS II INC | TenPercentOwner | 14 | 2007–2014 | ||
| Cross Atlantic Capital Partners, Inc. | TenPercentOwner | 13 | 2007–2014 | ||
| CROSS ATLANTIC TECHNOLOGY FUND II LP | TenPercentOwner | 14 | 2007–2014 | ||
| GAZELLE CO INVESTMENT FUND LP | TenPercentOwner | 3 | 2007–2008 | ||
| GAZELLE TECHVENTURES FUND LP | TenPercentOwner | 3 | 2007–2008 | ||
| Gazelle TechVentures, Inc. | TenPercentOwner | 3 | 2007–2008 | ||
| Hewes Happy R | Officer | SVP-Sales, Mkt. & Asst. Sec. | 3 | 2007–2009 | |
| HUNTER GORDON | Director | Director | 11 | 2007–2010 | |
| MIKOLAJCZYK MICHAEL E | Director | 36 | 2007–2022 | ||
| MONUMENT TECHNOLOGY PARTNERS LLC | TenPercentOwner | 3 | 2007–2008 | ||
| Parvez Raja M | Director,Officer | President/CEO; President, CEO & Director | 10 | 2007–2014 | |
| Weissman William F | Director,Officer; Officer | CFO, Treasurer and Secretary; Pres., CEO, CFO, Treas. & Sec.; President and CEO | 11 | 2007–2015 | |
| XATF MANAGEMENT II LP | TenPercentOwner | 14 | 2007–2014 | ||
| XATF Management, L.P. | TenPercentOwner | 12 | 2007–2013 | ||
| CROSS ATLANTIC TECHNOLOGY FUND L P | TenPercentOwner | 11 | 2007–2013 | ||
| Spencer Raymond J | Director | 22 | 2008–2017 | ||
| Co-Invest Capital Partners Inc | TenPercentOwner | 12 | 2008–2014 | ||
| Co-Invest Management LP | TenPercentOwner | 12 | 2008–2014 | ||
| CO INVESTMENT 2000 FUND LP | TenPercentOwner | 12 | 2008–2014 | ||
| Graffy Mardel A | Officer | Chief Financial Officer; VP - Financial Operations | 9 | 2014–2018 | |
| Tamim Hany | Officer | Chief Operating Officer | 4 | 2015–2017 | |
| Brog Timothy | Director; Director,Officer | Chief Executive Officer; President and CEO | 19 | 2016–2023 | |
| Westphal Susan | Director | 12 | 2017–2022 | ||
| Gramm Jefferson | Director; Director,TenPercentOwner; Director,TenPercentOwnerOther | 9 | 2017–2022 | ||
| Slavutsky Inga A | Officer | Chief Financial Officer | 2 | 2018 | |
| Rich Mathew Jason | Officer | Chief Financial Officer | 1 | 2019 | |
| Bandera Partners LLC | TenPercentOwner; TenPercentOwnerOther | 2 | 2020–2022 | ||
| Bylinsky Gregory | TenPercentOwner; TenPercentOwnerOther | 2 | 2020–2022 | ||
| Lusardi Kevin Timothy | Officer | Chief Financial Officer | 1 | 2021 | |
| JANEL CORP | TenPercentOwner | 1 | 2022 | ||
| Oaxaca Group L.L.C. | TenPercentOwner | 1 | 2022 | ||
| Schulte Dominique | TenPercentOwner | 1 | 2022 | ||
| Eidinger John | Director | 1 | 2022 | ||
| Seirer Darren Clay | Director,TenPercentOwner | 1 | 2022 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | RUBICON TECHNOLOGY, INC. | IL | State business registries | name and state |
| Plan sponsor | RUBICON TECHNOLOGY, INC. | IL | Form 5500 (employee benefit plans) | name and state |
| Federal award recipient | RUBICON TECHNOLOGY, INC. | IL | Federal spending (USAspending) | name and state |
| Patent assignee | Rubicon Technology, Inc. | IL | Patents (USPTO) | name and state |
| SEC filer | Rubicon Technology, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Rubicon Technology, Inc. | IL | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | RUBICON TECHNOLOGY, INC. | EIN (EXACT) | ||
| Person page | Donald R Caldwell | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Semiconductors & Related Devices, IL first:
- CMC Materials, Inc. IL
- STRATOS INTERNATIONAL INC IL
- TRANS-INDIA ACQUISITION CORP IL
- Qimonda AG 2M
- VIA optronics AG 2M
- ADVANCED ID CORP A0
- Solar Energy Initiatives, Inc. A0
- META MATERIALS INC. A5
- RF ODYSSEY INC. A6
- Photowatt Technologies Inc. A6
In other datasets, the same topic (Technology) in IL:
- Form D issuer: 100INSIGHTS, INC (Form D private offerings)
- Lobbying client: ABBOTT LABORATORIES (Federal lobbying (LDA))
Interests: Semiconductors & Related Devices · Technology