8-K
Rubicon Technology, Inc. (RBCN)
UNITEDSTATES
SECURITIESAND EXCHANGE COMMISSION
Washington,D.C. 20549
FORM8-K
CURRENTREPORT
Pursuantto Section 13 or 15(d) of
theSecurities Exchange Act of 1934
Dateof Report (Date of earliest event reported): November 3, 2020
RUBICONTECHNOLOGY, INC.
(Exactname of registrant as specified in its charter)
| Delaware | 001-33834 | 36-4419301 |
|---|---|---|
| (Stateor other jurisdictionof incorporation) | (Commission File Number) | (I.R.S.EmployerIdentification No.) |
| 900 East Green Street<br><br> <br>Bensenville, Illinois | 60106 | |
| --- | --- | |
| (Address of principal executive offices) | (Zip Code) |
(847)295-7000
(Registrant’stelephone number, including area code)
N/A
(Formername or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ☐ | Written<br> communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|---|---|
| ☐ | Soliciting<br> material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| --- | --- |
| ☐ | Pre-commencement<br> communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| --- | --- |
| ☐ | Pre-commencement<br> communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| --- | --- |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
|---|---|---|
| Common Stock, par value $.001 per share | RBCN | The NASDAQ Capital Market |
| Series A Junior Participating Preferred Stock | N/A | N/A |
Item5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangementof Certain Officers.
On November 3, 2020, Mathew Rich gave Rubicon Technology, Inc. (the “Company”) notice that due to certain health issues, he is going on disability and that he can longer serve as the Company’s Chief Financial Officer effective immediately.
The Company’s Chief Executive Officer, Timothy Brog, will be the Acting Chief Financial Officer, until Mr. Rich’s replacement has been hired. The Company has begun a search for a new Chief Financial Officer and will announce such person as soon as one has been hired.
1
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| RUBICON<br> TECHNOLOGY, INC. | ||
|---|---|---|
| Dated:<br>November 3, 2020 | By: | /s/<br> Timothy E. Brog |
| Name: | Timothy<br> E. Brog | |
| Title: | Chief<br> Executive Officer |
2