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: 44 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-11-08: Reporting owner Mahon Steven Scott; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-08-16: Reporting owner Raim Ellen; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-08-13: Reporting owner Strid Eric W; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-08-13: Reporting owner Killian Jeffrey A; Form 4; Security Restricted Stock Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-11-08 | Mahon Steven Scott Officer (Vice President, 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 | 2011-11-10 | |
| 2011-08-16 | 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 | −7,500 22,500 owned after | $0.00 | 2011-08-18 | |
| 2011-08-13 | Strid Eric W Director, Officer (Chief Technology Officer), 10% Owner | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,355 2,355 owned after | $0.00 | 2011-08-17 | |
| 2011-08-13 | 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 | −2,677 2,676 owned after | $0.00 | 2011-08-17 | |
| 2011-08-13 | Chen John Y Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,334 6,666 owned after | $0.00 | 2011-08-17 | |
| 2011-08-13 | 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 | −4,312 4,311 owned after | $0.00 | 2011-08-17 | |
| 2011-08-13 | Harris Steven L Officer (Executive Vice President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,599 3,599 owned after | $0.00 | 2011-08-17 | |
| 2011-08-13 | Carlson F Paul Director, Officer (Chairman) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,206 12,205 owned after | $0.00 | 2011-08-17 | |
| 2011-08-11 | DELAFIELD JOHN D 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 | 2011-08-22 | |
| 2011-07-06 | BURGER MICHAEL D Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 57,500 owned after | $0.00 | 2011-07-08 | |
| 2011-06-03 | 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 2,500 owned after | $0.00 | 2011-06-07 | |
| 2011-05-16 | 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 | −15,000 45,000 owned after | $0.00 | 2011-05-18 | |
| 2011-05-16 | 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 | −587 586 owned after | $0.00 | 2011-05-18 | |
| 2011-05-13 | 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 | 2011-07-07 | |
| 2011-05-13 | OLeary George 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 | 2011-07-07 | |
| 2011-05-13 | OLeary George 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 | 2011-07-07 | |
| 2011-03-31 | 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 7,500 owned after | $0.00 | 2011-04-04 | |
| 2011-02-24 | 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 | −10,000 0 owned after | $0.00 | 2011-02-28 | |
| 2011-02-05 | 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 | −1,944 1,944 owned after | $0.00 | 2011-02-08 | |
| 2011-02-05 | 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 | −1,035 3,103 owned after | $0.00 | 2011-02-08 | |
| 2011-02-05 | 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 | −880 2,637 owned after | $0.00 | 2011-02-08 | |
| 2011-02-05 | 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 | −675 675 owned after | $0.00 | 2011-02-08 | |
| 2011-02-05 | Harris Steven L Officer (Executive Vice President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,242 3,724 owned after | $0.00 | 2011-02-08 | |
| 2011-02-05 | Harris Steven L Officer (Executive Vice President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,134 1,134 owned after | $0.00 | 2011-02-08 | |
| 2011-02-05 | Strid Eric W Director, Officer (Chief Technology Officer), 10% Owner | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −778 777 owned after | $0.00 | 2011-02-07 | |
| 2011-02-03 | 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) | +5,528 5,528 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | 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) | +3,439 3,439 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | Raim Ellen Officer (VP, Human Resources) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,530 1,530 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | 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) | +3,139 3,139 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | 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) | +4,187 4,187 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | 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) | +14,364 14,364 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | 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) | +644 644 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | Kondrat Michael J Officer (VP Marketing) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,915 3,915 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | Kondrat Michael J Officer (VP Marketing) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,436 2,436 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | 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) | +4,606 4,606 owned after | no price filed | 2011-02-07 | |
| 2011-02-03 | 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) | +2,866 2,866 owned after | no price filed | 2011-02-07 | |
| 2011-01-26 | Harris Steven L Officer (Executive Vice President) | 4/A | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 30,000 owned after | $0.00 | 2011-02-01 | |
| 2011-01-26 | Harris Steven L Officer (Executive Vice President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 30,000 owned after | $0.00 | 2011-01-28 | |
| 2011-01-17 | 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 92,799 owned after | $0.00 | 2011-01-18 | |
| 2011-01-17 | 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 | 2011-01-18 | |
| 2011-01-17 | OLeary George Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,666 119,264 owned after | $0.00 | 2011-01-18 | |
| 2011-01-17 | 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 | 2011-01-18 | |
| 2011-01-17 | 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 | 2011-01-18 | |
| 2011-01-17 | Carlson F Paul Director, Officer (Chairman) | 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 | 2011-01-18 |