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: 54 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-12: Reporting owner Ahlgren Debbora; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-11-12: Reporting owner Killian Jeffrey A; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-11-12: Reporting owner Raim Ellen; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-11-12: Reporting owner Harris Steven L; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-11-12 | Ahlgren Debbora Officer (Vice President, Marketing) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2013-11-15 | |
| 2013-11-12 | 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) | +5,000 5,000 owned after | $0.00 | 2013-11-15 | |
| 2013-11-12 | Raim Ellen Officer (VP, Human Resources) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2013-11-15 | |
| 2013-11-12 | 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) | +5,000 5,000 owned after | $0.00 | 2013-11-15 | |
| 2013-11-12 | 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) | +4,000 4,000 owned after | $0.00 | 2013-11-15 | |
| 2013-11-12 | Selley Robert Officer (VP, Sales) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000 1,000 owned after | $0.00 | 2013-11-15 | |
| 2013-11-12 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,666 122,798 owned after | $0.00 | 2013-11-14 | |
| 2013-11-12 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2013-11-14 | |
| 2013-11-12 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $0.00 | 2013-11-14 | |
| 2013-11-12 | 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 | −1,666 0 owned after | $0.00 | 2013-11-14 | |
| 2013-11-08 | 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 | −2,175 6,525 owned after | $0.00 | 2013-11-12 | |
| 2013-11-08 | 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 | −1,725 5,175 owned after | $0.00 | 2013-11-12 | |
| 2013-11-08 | Ahlgren Debbora Officer (Vice President, Marketing) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −432 1,293 owned after | $0.00 | 2013-11-12 | |
| 2013-11-08 | 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 | −1,725 5,175 owned after | $0.00 | 2013-11-12 | |
| 2013-11-08 | 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 7,500 owned after | $0.00 | 2013-11-12 | |
| 2013-11-08 | 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 | −1,725 5,175 owned after | $0.00 | 2013-11-12 | |
| 2013-09-03 | Selley Robert Officer (VP, Sales) | 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 | 2013-09-04 | |
| 2013-08-16 | 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 7,500 owned after | $0.00 | 2013-08-20 | |
| 2013-08-13 | 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 0 owned after | $0.00 | 2013-08-15 | |
| 2013-08-09 | Ahlgren Debbora Officer (Vice President, Marketing) | 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 | 2013-08-13 | |
| 2013-07-08 | BURGER MICHAEL D Director, 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 12,500 owned after | $0.00 | 2013-07-10 | |
| 2013-07-08 | BURGER MICHAEL D Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $0.00 | 2013-07-10 | |
| 2013-05-14 | 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 15,000 owned after | $0.00 | 2013-05-16 | |
| 2013-05-10 | Strid Eric W Director | 4/A | 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 | 2013-11-22 | |
| 2013-05-10 | Strid Eric W Director | 4/A | 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 | 2013-11-22 | |
| 2013-05-10 | LINK RAYMOND A Director | 4/A | 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 | 2013-10-22 | |
| 2013-05-10 | LINK RAYMOND A Director | 4/A | 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 | 2013-10-22 | |
| 2013-05-10 | Carlson F Paul Director, Officer (Chairman) | 4/A | 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 | 2013-10-22 | |
| 2013-05-10 | Carlson F Paul Director, Officer (Chairman) | 4/A | 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 | 2013-10-22 | |
| 2013-05-10 | 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 | 2013-05-14 | |
| 2013-05-10 | 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 | 2013-05-14 | |
| 2013-05-10 | Chen John Y 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 | 2013-05-14 | |
| 2013-05-10 | 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 | −5,000 0 owned after | $0.00 | 2013-05-14 | |
| 2013-05-10 | 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 | 2013-05-14 | |
| 2013-05-10 | 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 | 2013-05-14 | |
| 2013-05-10 | 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 | 2013-05-14 | |
| 2013-05-10 | 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 | 2013-05-14 | |
| 2013-05-10 | Strid Eric W 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 | 2013-05-14 | |
| 2013-05-10 | Strid Eric W 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 | 2013-05-14 | |
| 2013-05-10 | 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 | 2013-05-14 | |
| 2013-05-10 | 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 | −5,000 0 owned after | $0.00 | 2013-05-14 | |
| 2013-02-05 | 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 | −1,241 1,241 owned after | $0.00 | 2013-02-07 | |
| 2013-02-05 | 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 | −1,034 1,034 owned after | $0.00 | 2013-02-07 | |
| 2013-02-04 | 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 1,432 owned after | $0.00 | 2013-02-06 | |
| 2013-02-04 | 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 | −1,152 2,878 owned after | $0.00 | 2013-02-06 | |
| 2013-02-04 | 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 | −785 1,961 owned after | $0.00 | 2013-02-06 | |
| 2013-02-04 | 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 | −383 955 owned after | $0.00 | 2013-02-06 | |
| 2013-02-04 | 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 | −161 402 owned after | $0.00 | 2013-02-06 | |
| 2013-02-04 | 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 1,719 owned after | $0.00 | 2013-02-06 | |
| 2013-02-04 | 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 | −1,382 3,455 owned after | $0.00 | 2013-02-06 | |
| 2013-02-04 | BURGER MICHAEL D Director, 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 0 owned after | $0.00 | 2013-02-05 | |
| 2013-02-04 | BURGER MICHAEL D Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,047 2,616 owned after | $0.00 | 2013-02-05 | |
| 2013-02-01 | BURGER MICHAEL D Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,000 19,000 owned after | $0.00 | 2013-02-05 | |
| 2013-01-28 | 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 | −8,954 0 owned after | $0.00 | 2013-01-29 |