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: 55 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-11-13: Reporting owner SPIVEY WILLIAM; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-11-13: Reporting owner SPIVEY WILLIAM; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-11-13: 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.
- 2012-11-13: Reporting owner Carlson F Paul; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-11-13 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,666 106,132 owned after | $0.00 | 2012-11-14 | |
| 2012-11-13 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2012-11-14 | |
| 2012-11-13 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2012-11-14 | |
| 2012-11-13 | 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 | −1,666 0 owned after | $0.00 | 2012-11-14 | |
| 2012-11-12 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,667 104,466 owned after | $0.00 | 2012-11-14 | |
| 2012-11-12 | 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 | 2012-11-14 | |
| 2012-11-12 | 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 | 2012-11-14 | |
| 2012-11-12 | 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 | −1,667 1,666 owned after | $0.00 | 2012-11-14 | |
| 2012-11-08 | Mahon Steven Scott Officer (Vice President, Operations) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,900 6,900 owned after | $0.00 | 2012-11-13 | |
| 2012-11-08 | 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 15,000 owned after | $0.00 | 2012-11-13 | |
| 2012-11-08 | Raim Ellen Officer (VP, Human Resources) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,900 6,900 owned after | $0.00 | 2012-11-13 | |
| 2012-11-08 | O'Mara Paul J Officer (VP Sales) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,900 6,900 owned after | $0.00 | 2012-11-13 | |
| 2012-11-08 | 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) | +8,700 8,700 owned after | $0.00 | 2012-11-13 | |
| 2012-11-08 | Harris Steven L Officer (Executive Vice President) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,900 6,900 owned after | $0.00 | 2012-11-13 | |
| 2012-11-08 | Ahlgren Debbora Officer (VP, Marketing) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,725 1,725 owned after | $0.00 | 2012-11-13 | |
| 2012-08-16 | 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 15,000 owned after | $0.00 | 2012-08-20 | |
| 2012-08-13 | Chen John Y Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 3,333 owned after | $0.00 | 2012-08-15 | |
| 2012-08-13 | 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 | −12,205 0 owned after | $0.00 | 2012-08-15 | |
| 2012-08-13 | 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 0 owned after | $0.00 | 2012-08-15 | |
| 2012-08-13 | 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 | −4,311 0 owned after | $0.00 | 2012-08-15 | |
| 2012-08-13 | 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 | −2,676 0 owned after | $0.00 | 2012-08-15 | |
| 2012-08-13 | 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 0 owned after | $0.00 | 2012-08-15 | |
| 2012-08-10 | Ahlgren Debbora Officer (VP, Marketing) | 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 | 2012-08-14 | |
| 2012-08-10 | 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 | −10,000 0 owned after | $0.00 | 2012-08-14 | |
| 2012-07-26 | 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 25,000 owned after | $0.00 | 2012-07-30 | |
| 2012-07-26 | 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 | −10,000 10,000 owned after | $0.00 | 2012-07-30 | |
| 2012-06-03 | 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 0 owned after | $0.00 | 2012-06-05 | |
| 2012-05-14 | 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 30,000 owned after | $0.00 | 2012-05-16 | |
| 2012-05-14 | 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 | −586 0 owned after | $0.00 | 2012-05-16 | |
| 2012-05-11 | 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 | 2012-05-15 | |
| 2012-05-11 | LINK RAYMOND A 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 | 2012-05-15 | |
| 2012-05-11 | Chen John Y 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 | 2012-05-15 | |
| 2012-05-11 | Chen John Y 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 | 2012-05-15 | |
| 2012-05-11 | 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 | 2012-05-15 | |
| 2012-05-11 | SPIVEY WILLIAM 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 | 2012-05-15 | |
| 2012-05-11 | DELAFIELD JOHN D Director, 10% Owner | 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 | 2012-05-15 | |
| 2012-05-11 | 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 | −5,000 0 owned after | $0.00 | 2012-05-15 | |
| 2012-05-11 | Carlson F Paul Director, Officer (Chairman) | 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 | 2012-05-15 | |
| 2012-05-11 | 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 | −5,000 0 owned after | $0.00 | 2012-05-15 | |
| 2012-03-31 | 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 0 owned after | $0.00 | 2012-04-03 | |
| 2012-02-05 | 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 2,482 owned after | $0.00 | 2012-02-07 | |
| 2012-02-05 | 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 0 owned after | $0.00 | 2012-02-07 | |
| 2012-02-05 | 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 0 owned after | $0.00 | 2012-02-07 | |
| 2012-02-05 | 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 2,068 owned after | $0.00 | 2012-02-07 | |
| 2012-02-05 | 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 | −777 0 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −7,182 7,182 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −524 3,663 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −393 2,746 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −717 2,149 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −576 4,030 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −860 2,579 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −691 4,837 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −81 563 owned after | $0.00 | 2012-02-07 | |
| 2012-02-03 | 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 | −192 1,338 owned after | $0.00 | 2012-02-07 | |
| 2012-01-26 | 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 15,000 owned after | $0.00 | 2012-01-27 |