# EDGAR Filing Document

**Accession Number:** 0001410172
**File Stem:** 0001213900-23-017286
**Filing Date:** 2023-3
**Character Count:** 5041
**Document Hash:** bd9a5f7fb60c2f73626e2c62d122aac4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-017286.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0001213900-23-017286

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230303

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33834
- **FILM NUMBER:** 23705385

**BUSINESS ADDRESS:**
- **STREET 1:** 900 EAST GREEN STREET
- **CITY:** BENSENVILLE
- **STATE:** IL
- **ZIP:** 60106
- **BUSINESS PHONE:** (847) 295-7000

**MAIL ADDRESS:**
- **STREET 1:** 900 EAST GREEN STREET
- **CITY:** BENSENVILLE
- **STATE:** IL
- **ZIP:** 60106

?xml version="1.0" encoding="utf-8"?

**UNITED STATES SECURITIES AND EXCHANGE COMMISSION**

WASHINGTON, D.C. 20549

**FORM 8-K**

**CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF** 

**THE SECURITIES EXCHANGE ACT OF 1934**

Date of report (Date of earliest event reported): **March 3, 2023**

**RUBICON TECHNOLOGY, INC.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-33834** | **36-4419301** |
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

---

**900 East Green Street, Bensenville, IL 60106** 

(Address of Principal Executive Offices)

Registrant's telephone number, including area code: **(847) 295-7000**

**N/A**

(Former Name 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 communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement 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:

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| | | |
|:---|:---|:---|
| Title of each class | Trading symbol | Name of each exchange on which registered |
| **None** | **N/A** | **N/A** |

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| | |
|:---|:---|
| **Item 5.02.** | **Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.** |

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On March 3, 2023, the Board of Directors (the ***"Board"***) of Rubicon Technology, Inc. (the ***"Company"***) appointed Dennis Paul, 50, as an independent director. Mr. Paul will serve as a Class II director with a term expiring at the Company's 2024 Annual Meeting of Stockholders. Since 2012, Mr. Paul has served as a Founder and Managing Member of Thyra Global Management and since 2018 has served as a Senior Advisor at Blackstone.

There is no arrangement or understanding between Mr. Paul and any other person pursuant to which Mr. Paul was appointed to the Board. Mr. Paul has not been involved in any related party transaction within the meaning of Item 404(a) of Regulation S-K promulgated under the Securities Exchange Act of 1934, as amended, and required to be disclosed herein.

At the time Mr. Paul assumed the role of director, the Board had not determined the Board committees, if any, on which Mr. Paul would serve. Following Mr. Paul's appointment, there were no vacancies on the Board.

**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 thereunto duly authorized.

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| | | | |
|:---|:---|:---|:---|
|  | **RUBICON TECHNOLOGY, INC.** | **RUBICON TECHNOLOGY, INC.** | **RUBICON TECHNOLOGY, INC.** |
|  | (Registrant) | (Registrant) | (Registrant) |
| Date: March 3, 2023 | By: | /s/ Joseph Ferrara | /s/ Joseph Ferrara |
|  |  | Name: | Joseph Ferrara |
|  |  | Title: | Executive Officer and Chief Financial Officer |

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