Rubicon Technology, Inc. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| CALDWELL DONALD R | — | Award / Grant | 10,831 | — | — | 115,881 | Mar 31, 2017 |
| Brog Timothy | President and CEO | Award / Grant | 9,020 | — | — | 115,594 | Mar 31, 2017 |
| Aquilano Don N | — | Award / Grant | 17,991 | — | — | 226,845 | Mar 31, 2017 |
| Tamim Hany | Chief Operating Officer | Tax Withholding | 9,333 | $0.60 | $5,600 | 36,333 | Dec 31, 2016 |
| Tamim Hany | Chief Operating Officer | Tax Withholding | 4,334 | $0.60 | $2,600 | 12,333 | Nov 1, 2016 |
| Graffy Mardel A | Chief Financial Officer | Option Exercise | 4,145 | — | — | 7,573 | Nov 1, 2016 |
| Aquilano Don N | — | Disposition | 46,634 | — | — | 208,854 | Oct 1, 2016 |
| Spencer Raymond J | — | Disposition | 8,772 | — | — | 139,570 | Oct 1, 2016 |
| MIKOLAJCZYK MICHAEL E | — | Disposition | 8,772 | — | — | 308,607 | Oct 1, 2016 |
| Aquilano Don N | — | Disposition | 42,248 | — | — | 213,240 | Oct 1, 2016 |
| Aquilano Don N | — | Disposition | 13,158 | — | — | 242,330 | Oct 1, 2016 |
| Spencer Raymond J | — | Disposition | 2,412 | — | — | 137,158 | Jul 1, 2016 |
| Brog Timothy | — | Award / Grant | 2,022 | — | — | 106,574 | Jul 1, 2016 |
| Brog Timothy | — | Award / Grant | 73,529 | — | — | 73,529 | May 26, 2016 |
| Aquilano Don N | — | Award / Grant | 200,657 | — | — | 255,488 | Jan 1, 2016 |
| MIKOLAJCZYK MICHAEL E | — | Award / Grant | 109,210 | — | — | 317,379 | Jan 1, 2016 |
| Spencer Raymond J | — | Award / Grant | 108,114 | — | — | 148,342 | Jan 1, 2016 |
| CALDWELL DONALD R | — | Award / Grant | 69,517 | — | — | 105,050 | Jan 1, 2016 |
| MIKOLAJCZYK MICHAEL E | — | Purchase | 38,700 | $1.19 | $46,053 | 208,169 | Dec 30, 2015 |
| Graffy Mardel A | Chief Financial Officer | Option Exercise | 4,146 | — | — | 4,938 | Nov 1, 2015 |
| MIKOLAJCZYK MICHAEL E | — | Award / Grant | 13,621 | — | — | 128,169 | Jan 1, 2015 |
| CALDWELL DONALD R | — | Award / Grant | 8,670 | — | — | 35,533 | Jan 1, 2015 |
| Spencer Raymond J | — | Award / Grant | 13,484 | — | — | 40,228 | Jan 1, 2015 |
| Aquilano Don N | — | Award / Grant | 25,027 | — | — | 54,831 | Jan 1, 2015 |
| Weissman William F | President and CEO | Tax Withholding | 1,903 | $4.36 | $8,297 | 14,136 | Dec 31, 2014 |
| Graffy Mardel A | VP - Financial Operations | Tax Withholding | 364 | $4.43 | $1,613 | 792 | Nov 1, 2014 |
| Weissman William F | CFO, Treasurer and Secretary | Tax Withholding | 1,644 | $8.75 | $14,385 | 16,039 | Jul 1, 2014 |
| Parvez Raja M | President/CEO | Tax Withholding | 3,382 | $8.75 | $29,593 | 27,985 | Jul 1, 2014 |
| CO INVESTMENT 2000 FUND LP | — | Sale | 2,500,000 | $12.42 | $31,050,000 | 2,217,851 | Mar 24, 2014 |
| CALDWELL DONALD R | — | Sale | 2,500,000 | $12.42 | $31,050,000 | 2,217,851 | Mar 24, 2014 |
| Co-Invest Management LP | — | Other | 3,982 | $9.95 | $39,621 | 19,763 | Jan 1, 2014 |
| CALDWELL DONALD R | — | Award / Grant | 3,982 | — | — | 26,863 | Jan 1, 2014 |
| MIKOLAJCZYK MICHAEL E | — | Award / Grant | 6,256 | — | — | 114,548 | Jan 1, 2014 |
| Spencer Raymond J | — | Award / Grant | 6,193 | — | — | 26,744 | Jan 1, 2014 |
| Aquilano Don N | — | Award / Grant | 11,494 | — | — | 29,804 | Jan 1, 2014 |
| MIKOLAJCZYK MICHAEL E | — | Award / Grant | 825 | — | — | 108,292 | Sep 30, 2013 |
| Aquilano Don N | — | Award / Grant | 3,096 | — | — | 18,310 | Sep 30, 2013 |
| Spencer Raymond J | — | Award / Grant | 825 | — | — | 20,551 | Sep 30, 2013 |
| Parvez Raja M | President/CEO | Award / Grant | 31,367 | — | — | 31,367 | Jul 1, 2013 |
| Weissman William F | CFO, Treasurer and Secretary | Award / Grant | 15,683 | — | — | 17,683 | Jul 1, 2013 |
| CALDWELL DONALD R | — | Sale | 225,000 | $7.45 | $1,676,250 | 4,779,742 | Apr 26, 2013 |
| CO INVESTMENT 2000 FUND LP | — | Sale | 61,891 | $7.53 | $466,039 | 4,717,851 | Apr 25, 2013 |
| CALDWELL DONALD R | — | Sale | 200,000 | $6.25 | $1,250,000 | 5,104,742 | Mar 26, 2013 |
| CROSS ATLANTIC TECHNOLOGY FUND II LP | — | Sale | 200,000 | $6.25 | $1,250,000 | 5,104,742 | Mar 22, 2013 |
| CO INVESTMENT 2000 FUND LP | — | Other | 6,485 | $6.11 | $39,623 | 15,781 | Dec 31, 2012 |
| Spencer Raymond J | — | Award / Grant | 6,813 | — | — | 19,726 | Dec 31, 2012 |
| Aquilano Don N | — | Award / Grant | 6,444 | — | — | 15,214 | Dec 31, 2012 |
| CALDWELL DONALD R | — | Award / Grant | 6,485 | — | — | 22,881 | Dec 31, 2012 |
| MIKOLAJCZYK MICHAEL E | — | Award / Grant | 6,915 | — | — | 107,467 | Dec 31, 2012 |
| CALDWELL DONALD R | — | Award / Grant | 4,220 | — | — | 16,396 | Dec 14, 2011 |