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: 66 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-12-31: Reporting owner BARNES KEITH; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-12-31: Reporting owner BARNES KEITH; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-12-31: Reporting owner BARNES KEITH; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-12-31: Reporting owner BARNES KEITH; 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 |
|---|---|---|---|---|---|---|---|---|
| 2010-12-31 | 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 | 2011-01-04 | |
| 2010-12-31 | 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 | 2011-01-04 | |
| 2010-12-31 | BARNES KEITH Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 0 owned after | $0.00 | 2011-01-04 | |
| 2010-12-31 | BARNES KEITH Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2011-01-04 | |
| 2010-11-14 | BARNES KEITH 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 | 2010-11-16 | |
| 2010-11-14 | 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 | −1,667 1,666 owned after | $0.00 | 2010-11-16 | |
| 2010-11-14 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 1,666 owned after | $0.00 | 2010-11-16 | |
| 2010-11-14 | 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 91,133 owned after | $0.00 | 2010-11-16 | |
| 2010-11-14 | SPIVEY WILLIAM 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 | 2010-11-16 | |
| 2010-11-14 | OLeary George Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 117,598 owned after | $0.00 | 2010-11-16 | |
| 2010-11-14 | OLeary George 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 | 2010-11-16 | |
| 2010-11-13 | 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 | 2010-11-16 | |
| 2010-11-13 | 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 | −1,667 3,333 owned after | $0.00 | 2010-11-16 | |
| 2010-11-13 | 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 | 2010-11-16 | |
| 2010-11-13 | 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 89,466 owned after | $0.00 | 2010-11-16 | |
| 2010-11-13 | 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 | 2010-11-16 | |
| 2010-11-13 | OLeary George Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 115,931 owned after | $0.00 | 2010-11-16 | |
| 2010-11-13 | 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 | 2010-11-16 | |
| 2010-11-12 | Chen John Y Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2010-11-16 | |
| 2010-11-12 | Mahon Steven Scott Officer (Vice President, Operations) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | no price filed | 2010-11-16 | |
| 2010-11-12 | 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 | 2010-11-16 | |
| 2010-11-12 | Carlson F Paul Director, Officer (Chairman and CEO) | 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 | 2010-11-16 | |
| 2010-11-12 | 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 | 2010-11-16 | |
| 2010-11-12 | 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 | 2010-11-16 | |
| 2010-11-12 | 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 | 2010-11-16 | |
| 2010-08-16 | Raim Ellen Officer (VP, Human Resources) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | no price filed | 2010-08-26 | |
| 2010-08-13 | Carlson F Paul Director, Officer (Chairman and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,411 24,411 owned after | no price filed | 2010-08-17 | |
| 2010-08-13 | Killian Jeffrey A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,353 5,353 owned after | no price filed | 2010-08-17 | |
| 2010-08-13 | Harris Steven L Officer (Executive Vice President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,198 7,198 owned after | no price filed | 2010-08-17 | |
| 2010-08-13 | Strid Eric W Director, Officer (Chief Technology Officer), 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,710 4,710 owned after | no price filed | 2010-08-17 | |
| 2010-08-13 | O'Mara Paul J Officer (VP Sales) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,623 8,623 owned after | no price filed | 2010-08-17 | |
| 2010-08-13 | Kondrat Michael J Officer (VP Marketing) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,033 4,033 owned after | no price filed | 2010-08-17 | |
| 2010-08-13 | BURGER MICHAEL D Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | no price filed | 2010-08-17 | |
| 2010-08-13 | BURGER MICHAEL D Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | no price filed | 2010-08-17 | |
| 2010-08-09 | 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 4,000 owned after | $0.00 | 2010-08-11 | |
| 2010-07-06 | Carlson F Paul Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $0.00 | 2010-07-08 | |
| 2010-06-03 | Killian Jeffrey A Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 5,000 owned after | $0.00 | 2010-06-04 | |
| 2010-05-14 | Killian Jeffrey A Officer (Chief Financial Officer) | 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 | 2010-06-01 | |
| 2010-05-14 | Killian Jeffrey A Officer (Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,173 1,173 owned after | no price filed | 2010-06-01 | |
| 2010-04-21 | 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 15,000 owned after | $0.00 | 2010-04-23 | |
| 2010-04-05 holding as of filing | Killian Jeffrey A Officer (Chief Financial Officer) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2010-04-05 | ||
| 2010-04-05 holding as of filing | Killian Jeffrey A Officer (Chief Financial Officer) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2010-04-05 | ||
| 2010-03-31 | 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 15,000 owned after | $0.00 | 2010-04-02 | |
| 2010-02-09 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2010-02-11 | |
| 2010-02-05 | Nambiar Anand Officer (Vice President of Operations) | 4/A | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,187 3,187 owned after | no price filed | 2010-02-16 | |
| 2010-02-05 | Strid Eric W Director, Officer (Chief Technology Officer), 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,555 1,555 owned after | no price filed | 2010-02-11 | |
| 2010-02-05 | SIPOWICZ STEVEN Officer (Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,138 4,138 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | SIPOWICZ STEVEN Officer (Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,294 3,294 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | Carlson F Paul Director, Officer (Chairman and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | Harris Steven L Officer (Executive V.P. Engineering) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,966 4,966 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | Harris Steven L Officer (Executive V.P. Engineering) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,268 2,268 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | O'Mara Paul J Officer (VP Sales) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,138 4,138 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | O'Mara Paul J Officer (VP Sales) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,888 3,888 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | Nambiar Anand Officer (Vice President of Operations) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,828 3,828 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | Nambiar Anand Officer (Vice President of Operations) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,160 2,160 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | Kondrat Michael J Officer (VP Marketing) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,517 3,517 owned after | no price filed | 2010-02-09 | |
| 2010-02-05 | Kondrat Michael J Officer (VP Marketing) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,350 1,350 owned after | no price filed | 2010-02-09 | |
| 2010-01-26 | Harris Steven L Officer (Executive V.P. Engineering) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 45,000 owned after | $0.00 | 2010-01-28 | |
| 2010-01-18 | 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 87,799 owned after | $0.00 | 2010-01-20 | |
| 2010-01-18 | SPIVEY WILLIAM 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 | 2010-01-20 | |
| 2010-01-18 | OLeary George Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 114,264 owned after | $0.00 | 2010-01-20 | |
| 2010-01-18 | OLeary George 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 | 2010-01-20 | |
| 2010-01-18 | 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 | 2010-01-20 | |
| 2010-01-18 | 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 10,001 owned after | $0.00 | 2010-01-20 | |
| 2010-01-18 | BARNES KEITH 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 | 2010-01-20 | |
| 2010-01-18 | 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 | −1,667 1,666 owned after | $0.00 | 2010-01-20 |