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As Of Filer Filing For·On·As Docs:Size Issuer Agent 9/05/07 Rubicon Technology, Inc. S-1 43:4.8M RR Donnelley/FA |
Document/Exhibit Description Pages Size 1: S-1 Registration Statement (General Form) HTML 1.58M 10: EX-4.10 Warrant to Purchase Shares of Series B Preferred HTML 63K Stock 11: EX-4.11 Warrant to Purchase Shares of Series B Preferred HTML 72K Stock 12: EX-4.12 Warrant to Purchase Shares of Series B Preferred HTML 72K Stock 13: EX-4.13 Warrant to Purchase Shares of Series C Preferred HTML 73K Stock 14: EX-4.14 Form of Investor Warrant to Purchase Shares of HTML 68K Series E Preferred Stock 15: EX-4.15 Warrant to Purchase Shares of Series E Preferred HTML 73K Stock 16: EX-4.16 Warrant to Purchase Shares of Series E Preferred HTML 73K Stock 17: EX-4.17 Warrant to Purchase Shares of Series E Preferred HTML 99K Stock 2: EX-4.2 Fourth Amended and Restated Registration Rights HTML 119K Agreement 3: EX-4.3 Third Amended and Restated Stockholders Agreement HTML 138K 4: EX-4.4 Series E Stockholders Agreement HTML 58K 5: EX-4.5 Form of Warrant to Purchase Shares of Series A HTML 54K Preferred Stock 6: EX-4.6 Form of Investor Warrant to Purchase Shares of HTML 67K Series B Preferred Stock 7: EX-4.7 Warrant to Purchase Shares of Series B Preferred HTML 84K Stock 8: EX-4.8 Warrant to Purchase Shares of Series B Preferred HTML 83K Stock 9: EX-4.9 Warrant to Purchase Shares of Series B Preferred HTML 83K Stock 18: EX-10.1 Rubicon Technology, Inc 2001 Equity Plan HTML 75K 19: EX-10.1(A) Amendment No. 1 to the Rubicon Technology, Inc. HTML 17K 2001 Equity Plan 20: EX-10.1(B) Amendment No. 2 to the Rubicon Technology, Inc. HTML 17K 2001 Equity Plan 21: EX-10.1(C) Amendment No. 3 to the Rubicon Technology, Inc. HTML 18K 2001 Equity Plan 22: EX-10.1(D) Amendment No. 4 to the Rubicon Technology, Inc. HTML 23K 2001 Equity Plan 23: EX-10.1(E) Amendment No. 5 to the Rubicon Technology, Inc. HTML 17K 2001 Equity Plan 24: EX-10.1(F) Amendment No. 6 to the Rubicon Technology, Inc. HTML 19K 2001 Equity Plan 25: EX-10.1(G) Amendment No. 7 to the Rubicon Technology, Inc. HTML 18K 2001 Equity Plan 26: EX-10.1(H) Form of Option Grant Agreement Under the 2001 HTML 70K Equity Plan 37: EX-10.10 Form of Post-Ipo Change of Control Severance HTML 24K Agreement 38: EX-10.11 Form of Indemnification Agreement HTML 67K 39: EX-10.12 Commercial Lease, Dated as of December 23, 2004 HTML 89K 40: EX-10.12(A) Amendment to Commercial Lease Dated as of May 6, HTML 25K 2005 41: EX-10.13 Lease, Dated as of July 29, 2005 HTML 66K 42: EX-10.14 Industrial Building Lease, Dated as of July 18, HTML 122K 2007 27: EX-10.2 Rubicon Technology, Inc. 2007 Stock Incentive Plan HTML 220K 28: EX-10.3 Rubicon Technology, Inc. 2006 Incentive Bonus Plan HTML 17K 29: EX-10.4 Rubicon Technology, Inc. Management Incentive HTML 35K Bonus Plan 30: EX-10.4(A) Amendment No. 1 to Management Incentive Bonus Plan HTML 19K 31: EX-10.5 Executive Employment Agreement, Dated as of HTML 94K November 17, 2005 32: EX-10.5(A) Amendment to the Employment Agreement Dated July HTML 24K 25, 2007 33: EX-10.6 Employment Agreement, Dated as of March 29, 2004 HTML 38K 34: EX-10.7 Severance Agreement, Dated as of September 8, 2005 HTML 39K 35: EX-10.8 Executive Employment Agreement, Dated as of July HTML 84K 30, 2007 36: EX-10.9 Loan and Security Agreement, Dated as of April 9, HTML 151K 2007 43: EX-23.1 Consent of Grant Thornton LLP HTML 15K
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.
This ‘S-1’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 9/5/07 | None on these Dates | ||
11/30/05 | ||||
6/28/05 | ||||
12/6/04 | ||||
5/28/04 | ||||
5/21/02 | ||||
11/6/01 | ||||
List all Filings |