CASCADE MICROTECH INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-05-14: Reporting owner SPIVEY WILLIAM; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-05-14: Reporting owner Rapp Martin L; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-05-14: Reporting owner Chen John Y; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-05-14: Reporting owner LINK RAYMOND A; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-05-14 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2016-05-16 | |
| 2016-05-14 | Rapp Martin L Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2016-05-16 | |
| 2016-05-14 | Chen John Y Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2016-05-16 | |
| 2016-05-14 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2016-05-16 | |
| 2016-05-14 | DELAFIELD JOHN D Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2016-05-16 | |
| 2016-05-14 | Strid Eric W Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2016-05-16 | |
| 2016-05-09 | Rapp Martin L Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 6,667 owned after | $0.00 | 2016-05-10 | |
| 2016-02-14 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2016-03-16 | |
| 2016-02-14 | Rapp Martin L Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2016-03-16 | |
| 2016-02-14 | Chen John Y Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2016-03-16 | |
| 2016-02-14 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2016-03-16 | |
| 2016-02-14 | DELAFIELD JOHN D Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2016-03-16 | |
| 2016-02-14 | Strid Eric W Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2016-03-16 | |
| 2016-02-12 | DELAFIELD JOHN D Director, 10% Owner | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2016-02-16 | |
| 2016-02-05 | BURGER MICHAEL D Officer (President and CEO) | 4/A | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,100 18,300 owned after | $0.00 | 2016-03-15 | |
| 2016-02-05 | BURGER MICHAEL D Officer (President and CEO) | 4/A | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 7,500 owned after | $0.00 | 2016-03-15 | |
| 2016-02-05 | Killian Jeffrey A Officer (CFO, VP Finance) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,963 5,887 owned after | $0.00 | 2016-02-09 | |
| 2016-02-05 | BURGER MICHAEL D Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,100 18,300 owned after | $0.00 | 2016-02-09 | |
| 2016-02-05 | BURGER MICHAEL D Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 7,500 owned after | $0.00 | 2016-02-09 | |
| 2016-02-05 | Raim Ellen Officer (VP, Human Resources) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,400 4,200 owned after | $0.00 | 2016-02-09 | |
| 2016-02-03 | BURGER MICHAEL D Officer (President and CEO) | 4/A | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −523 0 owned after | $0.00 | 2016-03-15 | |
| 2016-02-03 | Killian Jeffrey A Officer (CFO, VP Finance) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −392 0 owned after | $0.00 | 2016-02-05 | |
| 2016-02-03 | Raim Ellen Officer (VP, Human Resources) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −191 0 owned after | $0.00 | 2016-02-05 | |
| 2016-02-03 | BURGER MICHAEL D Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −523 0 owned after | $0.00 | 2016-02-05 | |
| 2016-01-31 | BURGER MICHAEL D Officer (President and CEO) | 4/A | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,750 4,750 owned after | $0.00 | 2016-03-15 | |
| 2016-01-31 | BURGER MICHAEL D Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,750 4,750 owned after | $0.00 | 2016-02-01 |