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: 36 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-08: Reporting owner SPIVEY WILLIAM; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-12-08: Reporting owner SPIVEY WILLIAM; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-12-08: Reporting owner OLeary George; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-12-08: Reporting owner OLeary George; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-12-08 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,666 86,132 owned after | $0.00 | 2009-12-10 | |
| 2009-12-08 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2009-12-10 | |
| 2009-12-08 | OLeary George Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,666 112,597 owned after | $0.00 | 2009-12-10 | |
| 2009-12-08 | OLeary George Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2009-12-10 | |
| 2009-12-08 | BARNES KEITH Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,666 8,334 owned after | $0.00 | 2009-12-10 | |
| 2009-12-08 | BARNES KEITH Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2009-12-10 | |
| 2009-12-08 | Carlson F Paul Director, Officer (Chairman and CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2009-12-10 | |
| 2009-11-16 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 84,466 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | OLeary George Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 110,931 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | OLeary George Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | Carlson F Paul Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 114,788 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | Carlson F Paul Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | BARNES KEITH Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 6,668 owned after | $0.00 | 2009-11-17 | |
| 2009-11-16 | BARNES KEITH Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-11-17 | |
| 2009-11-13 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2009-11-17 | |
| 2009-11-13 | OLeary George Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2009-11-17 | |
| 2009-11-13 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2009-11-17 | |
| 2009-11-13 | Carlson F Paul Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2009-11-17 | |
| 2009-11-13 | BARNES KEITH Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2009-11-17 | |
| 2009-08-07 | Kondrat Michael J Officer (VP Marketing) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 8,000 owned after | $0.00 | 2009-08-10 | |
| 2009-04-21 | Nambiar Anand Officer (Vice President of Operations) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 22,500 owned after | $0.00 | 2009-04-23 | |
| 2009-03-31 | O'Mara Paul J Officer (VP Sales) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 22,500 owned after | $0.00 | 2009-04-01 | |
| 2009-02-10 holding as of filing | O'Mara Paul J Officer (Vice President Sales) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2009-02-10 | ||
| 2009-02-09 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 1,666 owned after | $0.00 | 2009-02-11 | |
| 2009-02-06 | Harris Steven L Officer (Vice President Engineering) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | no price filed | 2009-02-10 | |
| 2009-01-21 | OLeary George Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 109,264 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | OLeary George Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | Carlson F Paul Director | 4 | Restricted Stock Unit Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,667 113,121 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | Carlson F Paul Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 82,799 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | BARNES KEITH Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 5,001 owned after | $0.00 | 2009-01-21 | |
| 2009-01-21 | BARNES KEITH Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $0.00 | 2009-01-21 |