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: 58 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-11-14: 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.
- 2014-11-14: Reporting owner Strid Eric W; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-11-14: Reporting owner SPIVEY WILLIAM; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-11-14: Reporting owner Rapp Martin L; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-11-14 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 2,500 owned after | $0.00 | 2014-11-18 | |
| 2014-11-14 | Strid Eric W Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 2,500 owned after | $0.00 | 2014-11-18 | |
| 2014-11-14 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 2,500 owned after | $0.00 | 2014-11-18 | |
| 2014-11-14 | Rapp Martin L Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 2,500 owned after | $0.00 | 2014-11-18 | |
| 2014-11-14 | 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 | −1,250 2,500 owned after | $0.00 | 2014-11-18 | |
| 2014-11-14 | Chen John Y Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 2,500 owned after | $0.00 | 2014-11-18 | |
| 2014-11-12 | Ahlgren Debbora | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −431 3,000 owned after | $0.00 | 2014-11-13 | |
| 2014-11-12 | Selley Robert | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −250 750 owned after | $0.00 | 2014-11-13 | |
| 2014-11-12 | 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 | −1,000 3,000 owned after | $0.00 | 2014-11-13 | |
| 2014-11-12 | 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 | −1,250 3,750 owned after | $0.00 | 2014-11-13 | |
| 2014-11-12 | 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 | −1,000 3,000 owned after | $0.00 | 2014-11-13 | |
| 2014-11-12 | 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 | −1,250 3,750 owned after | $0.00 | 2014-11-13 | |
| 2014-11-07 | 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 4,350 owned after | $0.00 | 2014-11-12 | |
| 2014-11-07 | 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 0 owned after | $0.00 | 2014-11-12 | |
| 2014-11-07 | 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 3,450 owned after | $0.00 | 2014-11-12 | |
| 2014-11-07 | 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 3,450 owned after | $0.00 | 2014-11-12 | |
| 2014-11-07 | 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 | −431 862 owned after | $0.00 | 2014-11-12 | |
| 2014-11-07 | 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 3,450 owned after | $0.00 | 2014-11-12 | |
| 2014-09-03 | Selley Robert 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 | 2014-09-04 | |
| 2014-08-15 | Rapp Martin L Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 3,750 owned after | $0.00 | 2014-08-19 | |
| 2014-08-15 | 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 0 owned after | $0.00 | 2014-08-19 | |
| 2014-08-15 | Strid Eric W Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 3,750 owned after | $0.00 | 2014-08-19 | |
| 2014-08-15 | 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 | −1,250 3,750 owned after | $0.00 | 2014-08-19 | |
| 2014-08-15 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 3,750 owned after | $0.00 | 2014-08-19 | |
| 2014-08-15 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 3,750 owned after | $0.00 | 2014-08-19 | |
| 2014-08-15 | Chen John Y Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 3,750 owned after | $0.00 | 2014-08-19 | |
| 2014-08-08 | 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 | no price filed | 2014-08-12 | |
| 2014-08-08 | 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 | no price filed | 2014-08-12 | |
| 2014-08-08 | 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 | no price filed | 2014-08-12 | |
| 2014-08-08 | Rapp Martin L 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 | no price filed | 2014-08-12 | |
| 2014-08-08 | 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 | no price filed | 2014-08-12 | |
| 2014-08-08 | 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 | no price filed | 2014-08-12 | |
| 2014-08-08 | 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 | −7,500 15,000 owned after | $0.00 | 2014-08-12 | |
| 2014-07-07 | BURGER MICHAEL D Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2014-07-08 | |
| 2014-07-07 | BURGER MICHAEL D Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $0.00 | 2014-07-08 | |
| 2014-05-14 | 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 0 owned after | $0.00 | 2014-05-16 | |
| 2014-05-09 | Rapp Martin L 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-05-09 | 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 | 2014-05-13 | |
| 2014-02-07 | BURGER MICHAEL D Officer (President & CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.00 | 2014-02-11 | |
| 2014-02-05 | 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 0 owned after | $0.00 | 2014-02-06 | |
| 2014-02-03 | 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 | −382 573 owned after | $0.00 | 2014-02-05 | |
| 2014-02-03 | 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 | −785 1,176 owned after | $0.00 | 2014-02-05 | |
| 2014-02-03 | 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 | −161 241 owned after | $0.00 | 2014-02-05 | |
| 2014-02-03 | 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 | −860 859 owned after | $0.00 | 2014-02-05 | |
| 2014-02-03 | 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 | −1,382 2,073 owned after | $0.00 | 2014-02-05 | |
| 2014-02-03 | 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 1,569 owned after | $0.00 | 2014-02-04 | |
| 2014-01-31 | 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 | −4,750 14,250 owned after | $0.00 | 2014-02-04 |