Document:

Amendment No. 1 to the Rubicon Technology, Inc. 2001 Equity Plan

 Exhibit 10.1(a) 
 RUBICON TECHNOLOGY, INC. 
 AMENDMENT NO. 1 
 TO 
 2001 EQUITY PLAN 

This Amendment No. 1 (this “Amendment”) amends the 2001 Equity Plan (the “Plan”) of Rubicon Technology, Inc., a Delaware
corporation (the “Company”). Except as expressly modified hereby, all of the terms and provisions of the Plan shall continue in full force and effect. A copy of this Amendment shall be attached to and made a part of the Plan. 

 

	1.	Amendment to Section 3 of the Plan. The first sentence of Section 3 of the Plan is hereby deleted in its entirety and the following substituted in its stead:

 Subject to the provisions of Section 13 of the Plan, the maximum number of Shares which may be optioned or sold under
the Plan is four hundred nine thousand three hundred eighty-one (409,381) Shares. 
  

	2.	Adoption. 

 This Amendment to the Plan was adopted
by the Board of Directors and approved by the stockholders of the Company, as of November 6, 2001. 
 Rubicon
Technology, Inc., a Delaware corporationAmendment No. 2 to the Rubicon Technology, Inc. 2001 Equity Plan

 Exhibit 10.1(b) 
 RUBICON TECHNOLOGY, INC. 
 AMENDMENT NO. 2 
 TO 
 2001 EQUITY PLAN 

This Amendment No. 2 (this “Amendment”) amends the 2001 Equity Plan (the “Plan”) of Rubicon Technology, Inc., a Delaware
corporation (the “Company”). Except as expressly modified hereby, all of the terms and provisions of the Plan shall continue in full force and effect. A copy of this Amendment shall be attached to and made a part of the Plan. 

 

	1.	Amendment to Section 3 of the Plan. The first sentence of Section 3 of the Plan is hereby deleted in its entirety and the following substituted in its stead:

 Subject to the provisions of Section 13 of the Plan, the maximum number of Shares which may be optioned or sold under
the Plan is Four Million Four Hundred Nine Thousand Three Hundred Eighty-One (4,409,381) Shares. 
  

	2.	Adoption. 

 This Amendment to the Plan was adopted
by the Board of Directors and approved by the stockholders of the Company, as of May 21, 2002. 
 Rubicon Technology,
Inc., a Delaware corporation 
  

			
	RUBICON TECHNOLOGY, INC.	 	AMENDMENT NO. 2 TO 2001 EQUITY PLANAmendment No. 3 to the Rubicon Technology, Inc. 2001 Equity Plan

 Exhibit 10.1(c) 
 RUBICON TECHNOLOGY, INC. 
 AMENDMENT NO. 3

 TO THE 
 RUBICON
TECHNOLOGY, INC. 2001 EQUITY PLAN 
 This Amendment No. 3 (the “Amendment”) amends the 2001 Equity Plan, as amended by
Amendment No. 1, dated as of November 6, 2001 and Amendment No. 2, dated as of May 21, 2002 (the “Plan”) of Rubicon Technology, Inc., a Delaware corporation. Except as expressly modified hereby, all of the terms and
provisions of the Plan shall continue in full force and effect. 
  

	1.	Amendment to Section 3 of the Plan. The first sentence of Section 3 of the Plan is hereby deleted in its entirety and the following substituted in its stead:

 Subject to the provisions of Section 13 of the Plan, the maximum number of Shares which may be optioned or sold under
the Plan is Six Million Nine Hundred Forty-Nine Thousand Twenty Two (6,949,022) Shares. 
  

	2.	Adoption 

 This Amendment to the Plan has been
adopted by the Board of Directors as of May 28, 2004 and the Stockholders as of May 28, 2004. 
  

			
	RUBICON TECHNOLOGY, INC.
		
	By:	 	 /s/ Christopher J. Moffitt

		 	Christopher J. Moffitt.
		 	Chief Executive Officer and PresidentAmendment No. 4 to the Rubicon Technology, Inc. 2001 Equity Plan

 Exhibit 10.1(d) 
 RUBICON TECHNOLOGY, INC. 
 AMENDMENT NO. 4

 TO THE 
 RUBICON
TECHNOLOGY, INC. 2001 EQUITY PLAN 
 DECEMBER 6, 2004 
 This Amendment No. 4 (the “Amendment”) amends the 2001 Equity Plan, dated as of August 2, 2001, as amended by Amendment No. 1,
dated as of November 6, 2001, Amendment No. 2, dated as of May 21, 2002 and Amendment No. 3, dated as of My 28, 2004 (the “Plan”) of Rubicon Technology, Inc., a Delaware corporation. Except as expressly modified hereby,
all of the terms and provisions of the Plan shall continue in full force and effect. 
  

	1.	Amendment to Section 3 of the Plan. 

  

	 	(a)	The first sentence of Section 3 of the Plan is hereby deleted in its entirety and the following substituted in its stead: 

 Subject to the provisions of Section 13 of the Plan and except as provided under Section 3(b) below, the maximum number of Shares which may be
optioned or sold under the Plan is Seven Million Six Hundred and Eleven Thousand and One Hundred and Fifty-two (7,611,152) Shares. 
  

	 	(b)	Section 3 of the Plan is hereby amended by (i) renumbering the first paragraph thereof as subsection (a), and (ii) adding the following as subsection (b):

 (b) Upon the issuance of shares of the Company’s Series C Convertible Preferred Stock, $.001 par value per share after
December 8, 2004, the number of Shares reserved under this Section 3 shall automatically be increased to be 12.5% of the fully diluted capital of the Company (assuming the full exercise of any outstanding options, warrants or other rights
to purchase Common Stock or any preferred stock of the Company (excluding Options outstanding under this Plan and shares issued as a result of the exercise of Options under this Plan) and the full conversion of any preferred stock of the Company
outstanding on that date); provided, however, that in no case shall the number of Shares reserved under the Plan be decreased as a result of the foregoing and no more than twenty percent (20%) of the Shares reserved under the Plan shall be
subject, at any one time, to Incentive Stock Options. 
  

					
	RUBICON TECHNOLOGY, INC.	 	-1-	 	 AMENDMENT NO. 4 TO
 2001 EQUITY PLAN

	2.	Adoption 

 This Amendment to the Plan has been
adopted by the Board of Directors as of December 6, 2004 and the Stockholders as of December 6, 2004. 
  

			
	 RUBICON TECHNOLOGY, INC.

		
	 By:
	 	 /s/ Christopher J. Moffitt

		 	 Christopher J. Moffitt.

		 	 Chief Executive Officer and President

  

					
	RUBICON TECHNOLOGY, INC.	 	-2-	 	 AMENDMENT NO. 4 TO
 2001 EQUITY PLANAmendment No. 5 to the Rubicon Technology, Inc. 2001 Equity Plan

 Exhibit 10.1(e) 
 RUBICON TECHNOLOGY, INC. 
 AMENDMENT NO. 5

 TO THE 
 RUBICON
TECHNOLOGY, INC. 2001 EQUITY PLAN 
 This Amendment No. 5 (the “Amendment”) amends the 2001 Equity Plan, as amended by
Amendment No. 1, dated as of November 6, 2001, Amendment No. 2, dated as of May 21, 2002, Amendment No. 3, dated as of May 28, 2004 and Amendment No. 4, dated as of December 6, 2004 (the “Plan”) of
Rubicon Technology, Inc., a Delaware corporation. Except as expressly modified hereby, all of the terms and provisions of the Plan shall continue in full force and effect. 
  

	1.	Amendment to Section 3 of the Plan. The first sentence of Section 3 of the Plan is hereby deleted in its entirety and the following substituted in its stead:

 Subject to the provisions of Section 13 of the Plan, the maximum number of Shares which may be optioned or sold under
the Plan is Nine Million One Hundred Fifty-five Thousand (9,155,000) Shares. 
  

	2.	Adoption 

 This Amendment to the Plan has been
adopted by the Board of Directors as of June 28, 2005 and the Stockholders as of June 28, 2005.Amendment No. 6 to the Rubicon Technology, Inc. 2001 Equity Plan

 Exhibit 10.1(f) 
 RUBICON TECHNOLOGY, INC. 
 AMENDMENT NO. 6

 TO THE 
 RUBICON
TECHNOLOGY, INC. 2001 EQUITY PLAN 
 This Amendment No. 6 (the “Amendment”) amends the 2001 Equity Plan, as amended by
Amendment No. 1, dated as of November 6, 2001, Amendment No. 2, dated as of May 21, 2002, Amendment No. 3, dated as of May 28, 2004, Amendment No. 4, dated as of December 6, 2004, Amendment No. 5, dated
as of June 28, 2005 (the “Plan”) of Rubicon Technology, Inc., a Delaware corporation. Except as expressly modified hereby, all of the terms and provisions of the Plan shall continue in full force and effect. 
  

	 	(a)	The first sentence of Section 3 of the Plan is hereby deleted in its entirety and the following substituted in its stead: 

 Subject to the provisions of Section 13 of the Plan and except as provided under Section 3(b) below, the maximum number of Shares which may be
optioned or sold under the Plan is Sixteen Million Nine Hundred and Eight Thousand (16,908,000) Shares. 
  

	 	(b)	Section 3 of the Plan is hereby amended by (i) renumbering the first paragraph thereof as subsection (a), and (ii) adding the following as subsection (b):

 (b) Upon the issuance of shares of the Company’s Series E Convertible Preferred Stock, $.001 par value per share, the
number of Shares reserved under this Section 3 shall automatically be increased to be 12.5% of the fully diluted capital of the Company (assuming the full exercise of any outstanding options, warrants or other rights to purchase Common Stock or
any preferred stock of the Company (excluding Options outstanding under this Plan and shares issued as a result of the exercise of Options under this Plan) and the full conversion of any preferred stock of the Company outstanding on that date);
provided, however, that in no case shall the number of Shares reserved under the Plan be decreased as a result of the foregoing and no more than twenty percent (20%) of the Shares reserved under the Plan shall be subject, at any one time, to
Incentive Stock Options. 
  

	2.	Adoption 

 This Amendment to the Plan has been
adopted by the Board of Directors as of November 30, 2005 and the Stockholders as of November 30, 2005.Amendment No. 7 to the Rubicon Technology, Inc. 2001 Equity Plan

 Exhibit 10.1(g) 
 RUBICON TECHNOLOGY, INC. 
 AMENDMENT NO. 7

 TO THE 
 RUBICON
TECHNOLOGY, INC. 2001 EQUITY PLAN 
 This Amendment No. 7 (the “Amendment”) amends the 2001 Equity Plan of Rubicon
Technology, Inc., a Delaware corporation, as amended by Amendment No. 1, dated as of November 6, 2001, Amendment No. 2, dated as of May 21, 2002, Amendment No. 3, dated as of May 28, 2004, Amendment No. 4, dated as
of December 6, 2004, Amendment No. 5, dated as of June 28, 2005 and Amendment No. 6, dated November 30, 2005 (the “Plan”). Except as expressly modified hereby, all of the terms and provisions of the Plan shall
continue in full force and effect. 
  

	1.	Amendments 

  

	 	(a)	Section 3(a) (numbered as paragraph (a) pursuant to the Amendment No. 6 to the Plan) is hereby amended to renumber that paragraph as Section “3” and the
first sentence of that paragraph is hereby deleted in its entirety and the following substituted in its stead: 

 Subject to
the provisions of Section 13 of the Plan, the maximum number of Shares which may be optioned or sold under the Plan is Eighteen Million Eight Hundred Forty-Five Thousand Six Hundred Seventy-Seven (18,845,677) Shares. 
  

	 	(b)	Section 3(b) of the Plan is hereby deleted in its entirety. 

  

	2.	Adoption 

 This Amendment to the Plan has been
adopted by the Board of Directors as of July 26, 2006 and the Stockholders as of July 26, 2006.

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