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: 37 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-11-14: 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.
- 2015-11-14: Reporting owner Chen John Y; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-11-14: Reporting owner DELAFIELD JOHN D; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-11-14: Reporting owner SPIVEY WILLIAM; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-11-14 | 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 | 2015-11-18 | |
| 2015-11-14 | 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 | 2015-11-18 | |
| 2015-11-14 | 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 | 2015-11-18 | |
| 2015-11-14 | 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 | 2015-11-18 | |
| 2015-11-14 | 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 | 2015-11-18 | |
| 2015-11-14 | 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 | 2015-11-18 | |
| 2015-11-12 | 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 2,000 owned after | $0.00 | 2015-11-16 | |
| 2015-11-12 | 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 2,500 owned after | $0.00 | 2015-11-16 | |
| 2015-11-08 | 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 2,175 owned after | $0.00 | 2015-11-10 | |
| 2015-11-08 | 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 1,725 owned after | $0.00 | 2015-11-10 | |
| 2015-08-07 | 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 | 2015-08-10 | |
| 2015-08-07 | 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 | 2015-08-10 | |
| 2015-08-07 | 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 | 2015-08-10 | |
| 2015-08-07 | 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 | 2015-08-10 | |
| 2015-08-07 | 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 | 2015-08-10 | |
| 2015-08-07 | 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 | 2015-08-10 | |
| 2015-05-15 | 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 0 owned after | $0.00 | 2015-05-19 | |
| 2015-05-15 | 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 | −1,250 0 owned after | $0.00 | 2015-05-19 | |
| 2015-05-15 | 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 0 owned after | $0.00 | 2015-05-19 | |
| 2015-05-15 | Rapp Martin L Director, 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2015-05-19 | |
| 2015-05-15 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.00 | 2015-05-19 | |
| 2015-05-15 | 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 0 owned after | $0.00 | 2015-05-19 | |
| 2015-05-08 | Rapp Martin L 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 | 2015-05-12 | |
| 2015-02-13 | 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 1,250 owned after | $0.00 | 2015-02-18 | |
| 2015-02-13 | SPIVEY WILLIAM Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2015-02-18 | |
| 2015-02-13 | 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 1,250 owned after | $0.00 | 2015-02-18 | |
| 2015-02-13 | LINK RAYMOND A Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | $0.00 | 2015-02-18 | |
| 2015-02-13 | 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 1,250 owned after | $0.00 | 2015-02-18 | |
| 2015-02-13 | 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 1,250 owned after | $0.00 | 2015-02-18 | |
| 2015-02-06 | 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) | +24,400 24,400 owned after | $0.00 | 2015-02-10 | |
| 2015-02-06 | 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) | +7,850 7,850 owned after | $0.00 | 2015-02-10 | |
| 2015-02-06 | Raim Ellen Officer (VP, Human Resources) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,600 5,600 owned after | $0.00 | 2015-02-10 | |
| 2015-02-06 | 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 | −3,750 11,250 owned after | $0.00 | 2015-02-09 | |
| 2015-02-03 | 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 | −784 392 owned after | $0.00 | 2015-02-05 | |
| 2015-02-03 | 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 | −382 191 owned after | $0.00 | 2015-02-05 | |
| 2015-02-03 | 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 | −1,046 523 owned after | $0.00 | 2015-02-03 | |
| 2015-01-30 | 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 | −4,750 9,500 owned after | $0.00 | 2015-02-03 |