0001144204-11-068070.txt : 20111202 0001144204-11-068070.hdr.sgml : 20111202 20111202133612 ACCESSION NUMBER: 0001144204-11-068070 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20111202 DATE AS OF CHANGE: 20111202 GROUP MEMBERS: JAMES ALPHA MANAGEMENT I, L.P. GROUP MEMBERS: JAMES ALPHA, LLC GROUP MEMBERS: KEVIN R. GREENE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASCADE MICROTECH INC CENTRAL INDEX KEY: 0000864559 STANDARD INDUSTRIAL CLASSIFICATION: INSTRUMENTS FOR MEAS & TESTING OF ELECTRICITY & ELEC SIGNALS [3825] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80457 FILM NUMBER: 111239633 BUSINESS ADDRESS: STREET 1: 9100 SW GEMINI DRIVE CITY: BEAVERTON STATE: OR ZIP: 97008 BUSINESS PHONE: 5036011000 MAIL ADDRESS: STREET 1: 9100 SW GEMINI DRIVE CITY: BEAVERTON STATE: OR ZIP: 97008 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JAMES ALPHA SMALL CAP MASTER FUND, L.P. CENTRAL INDEX KEY: 0001517880 IRS NUMBER: 204721688 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 515 MADISON AVENUE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646 201 4042 MAIL ADDRESS: STREET 1: 515 MADISON AVENUE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 v242251_sc13ga.htm AMENDMENT TO SCHEDULE 13G Unassociated Document
 
SECURITIES AND EXCHANGE COMMISSION
 
WASHINGTON, DC  20549
 
_____________
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
 
(Amendment No. 1) *
 

 

 

Cascade Microtech Inc.
(Name of Issuer)
 
Common Stock, $0.01 par value per share
(Title of Class of Securities)
 
 
147322101
  
(CUSIP Number)
 
 
November 8, 2011
  
(Date of Event That Requires Filing of This Statement)
 
 
 
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
ý Rule 13d-1 (b)
ý Rule 13d-1 (c)
¨ Rule 13d-1 (d)










*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
 
 

CUSIP No. 147322101
    
     
(1)
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
James Alpha Small Cap Master Fund, L.P.
 
 (I.R.S. Identification No.:  20-4721688
 
(2)
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) ¨
(b) ¨
 
(3)
SEC USE ONLY
 
(4)
CITIZENSHIP OR PLACE OF ORGANIZATION
    Cayman Islands
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
(5)
SOLE VOTING POWER                           0
 
(6)
SHARED VOTING POWER                    0
 
(7)
SOLE DISPOSITIVE POWER                  0
 
(8)
SHARED DISPOSITIVE POWER           0
 
 
(9)
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
(10)
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES                                           ¨
 
(11)
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.0%
 
(12)
TYPE OF REPORTING PERSON
 
PN

 
 
 

CUSIP No. 147322101
    
     
(1)
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
James Alpha, LLC
 
 (I.R.S. Identification No.: 20-4721686)
 
(2)
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) ¨
(b) ¨
 
(3)
SEC USE ONLY
 
(4)
CITIZENSHIP OR PLACE OF ORGANIZATION
    Delaware
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
(5)
SOLE VOTING POWER                           0
 
(6)
SHARED VOTING POWER                    0
 
(7)
SOLE DISPOSITIVE POWER                  0
 
(8)
SHARED DISPOSITIVE POWER           0
 
 
(9)
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
(10)
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES                                           ¨
 
(11)
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.0%
 
(12)
TYPE OF REPORTING PERSON
 
OO

 
 
 
 
CUSIP No. 147322101
    
     
(1)
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
James Alpha Management I, L.P.
 
 (I.R.S. Identification No.: 61-1586306)
 
(2)
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) ¨
(b) ¨
 
(3)
SEC USE ONLY
 
(4)
CITIZENSHIP OR PLACE OF ORGANIZATION
    Delaware
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
(5)
SOLE VOTING POWER                           0
 
(6)
SHARED VOTING POWER                    0
 
(7)
SOLE DISPOSITIVE POWER                  0
 
(8)
SHARED DISPOSITIVE POWER           0
 
 
(9)
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
(10)
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES                                           ¨
 
(11)
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.0%
 
(12)
TYPE OF REPORTING PERSON
 
PN

 
 
 

CUSIP No. 147322101
    
(1)
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
 
Kevin R. Greene
 
(2)
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) ¨
(b) ¨
 
(3)
SEC USE ONLY
 
(4)
CITIZENSHIP OR PLACE OF ORGANIZATION
    USA
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
(5)
SOLE VOTING POWER                           0
 
(6)
SHARED VOTING POWER                    0
 
(7)
SOLE DISPOSITIVE POWER                  0
 
(8)
SHARED DISPOSITIVE POWER           0
 
 
(9)
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
(10)
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES                                           ¨
 
(11)
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.0%
 
(12)
TYPE OF REPORTING PERSON
 
IN
 
 
 
 
 
Item 1(a).  Name of Issuer:
 
 
Cascade Microtech Inc.
 
Item 1(b).  Address of Issuer’s Principal Executive Offices:
 
 
2430 N.W. 206th Avenue, Beaverton, OR 97006
 
Item 2(a).  Name of Person(s) Filing:
 
 
The names of the persons filing this statement on Schedule 13G are (collectively, the “Reporting Persons”):
 
 
James Alpha Small Cap Master Fund, L.P. (“Master Fund”)
 
 
James Alpha, LLC  (“JA”)
 
 
James Alpha Management I, L.P.  (“JAM”)
 
 
Kevin R. Greene (“KG”)
 
 
Please see Schedule A for further information about the Reporting Persons.
 
 Item 2(b).  Address of Principal Business Office, or, if None, Residence:
 
Each of the Reporting Persons has a business address at 515 Madison Avenue, 24th Floor, New York City, New York 10022.
 
  Item 2(c).  Citizenship:
 
 
MasterFund 
Cayman Islands
 
JA 
Delaware
 
JAM 
Delaware
 
KG 
USA
 
  Item 2(d).  Title of Class of Securities:
 
 
Common Stock, $0.01 par value per share
 
  Item 2(e).  CUSIP Number:

 
14732101

  Item 3.  If This Statement is Filed Pursuant to Sections 240.13d-1(b) or 240.13d-2(b), Check Whether the Person Filing is a:
 
Not applicable.

 
 
 
 
Item 4.  Ownership:   Please see Schedule A for further information.
 
   
Master Fund
JA
JAM
KG
(a)
Beneficial Ownership
-0-
-0-
-0-
-0
(b)
Percentage of Class
0.0%
0.0%
0.0%
0.0%
(c)
Sole Voting Power
-0-
-0-
-0-
-0-
 
Shared Voting Power
-0-
-0-
-0-
-0-
 
Sole Dispositive Power
-0-
-0-
-0-
-0-
 
Shared Dispositive Power
-0-
-0-
-0-
-0-

 
Item 5.   Ownership of Five Percent or Less of a Class.
 
Not applicable
 
Item 6.  Ownership of More than Five Percent on Behalf of Another Person.
 
 
Not applicable
 
Item 7.I  dentification and Classification of the Subsidiary That Acquired the Security Being Reported by the Parent Holding Company or Control Person.
 
JAM, as investment manager of Master Fund, and JA, the general partner of Master Fund, have the right or the power to direct the receipt of dividends from shares, and to direct the receipt of proceeds from the sale of shares to clients holding limited partnership interests in Master Fund.
 
Item 8.  Identification and Classification of Members of the Group.
 
 
Not applicable
 
Item 9.  Notice of Dissolution of the Group.
 
 
Not applicable
 
Item 10.  Certification:
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a  participant  in any transaction having that purpose or effect.
 
 
 
 
 
SIGNATURE
 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
Date:  November 29, 2011

James Alpha Small Cap Master Fund, L.P.
By:  James Alpha, LLC

By:     /s/ Kevin R. Greene                                           
Name: Kevin R. Greene
Title:  Managing Member

 
James Alpha, LLC

By:    /s/ Kevin R. Greene                                           
Name: Kevin R. Greene
Title:  Managing Member
 
 
James Alpha Management I, L.P.
 By:  James Alpha, LLC

By:   /s/ Kevin R. Greene                                           
Name: Kevin R. Greene
Title:  Managing Member

 
Kevin R. Greene

/s/ Kevin R. Greene
Kevin R. Greene, individually

 
 
 

Exhibit A

Agreement of Joint Filing

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Cascade Microtech Inc. and further agree that this agreement be included as an exhibit to such filing. Each party to the agreement expressly authorizes each other party to file on its behalf any and all amendments to such statement.  Each party to this agreement agrees that this joint filing agreement may be signed in counterparts.

           In evidence whereof, the undersigned have caused this Agreement to be executed on their behalf on November 29, 2011.

James Alpha Small Cap Master Fund, L.P.
By:  James Alpha, LLC

By:     /s/ Kevin R. Greene                                           
Name: Kevin R. Greene
Title:  Managing Member

 
James Alpha, LLC

By:    /s/ Kevin R. Greene                                           
Name: Kevin R. Greene
Title:  Managing Member
 
 
James Alpha Management I, L.P.
By:  James Alpha, LLC

By:   /s/ Kevin R. Greene                                           
Name: Kevin R. Greene
Title:  Managing Member


Kevin R. Greene

/s/ Kevin R. Greene
Kevin R. Greene, individually

 
 
 
 
Schedule A

James Alpha Small Cap Master Fund, L.P. no longer beneficially owns any shares of common stock.

James Alpha Management I, L.P. is the investment manager of James Alpha Small Cap Master Fund, L.P. and may be deemed to share the right to direct the voting and dispositive control over the shares held by such fund. James Alpha Management I, L.P. has delegated daily management of the fund’s assets to Invicta Capital Management LLC, as subadvisor, and such subadvisor has discretionary investment authority over the assets of the James Alpha Small Cap Master Fund, L.P. and proxy voting power.  Accordingly, Invicta Capital Management LLC may be deemed to share beneficial ownership of such shares.  Invicta Capital Management LLC and its control person, Gregory A. Weaver, filed a Schedule 13G/A with the Securities and Exchange Commission on November 17, 2011, with respect to their beneficial ownership of such shares.

James Alpha, LLC is the general partner of James Alpha Small Cap Master Fund, L.P. and James Alpha Management I, L.P. and may be deemed to share the right to direct the voting and dispositive control over such shares.

Kevin R. Greene is the managing member of James Alpha, LLC. He may be deemed to share the right to direct the voting and dispositive control over such shares.