SETTLEMENT AGREEMENTSettlement Agreement • November 11th, 2020
Contract Type FiledNovember 11th, 2020This Settlement Agreement dated as of January 15, 2016 (the “Stipulation” or the “Settlement Agreement”), entered into pursuant to Rule 23 of the Federal Rules of Civil Procedure, embodies a settlement (the “Settlement”) made and entered into by and among the following Settling Parties: (i) Lead Plaintiff Firerock Global Opportunity Fund LP (“Lead Plaintiff”), on behalf of itself and each of the members of the Class, as defined in ¶1.3, infra, on the one hand, and (ii) Defendants Rubicon Technology, Inc. (“Rubicon” or the “Company”), Raja M. Parvez, William F. Weissman, Don N. Aquilano, Donald R. Caldwell, Michael E. Mikolajczyk, Raymond J. Spencer, Canaccord Genuity Inc. (“Canaccord”), and D.A. Davidson & Co. (“D.A. Davidson”) (with Canaccord Genuity, the “Underwriter Defendants”) (all collectively, the “Defendants”) on the other hand, by and through their counsel of record in the above-captioned litigation pending in the United States District Court for the Northern District of Illin