0001104659-16-097483.txt : 20160216
0001104659-16-097483.hdr.sgml : 20160215
20160216185112
ACCESSION NUMBER: 0001104659-16-097483
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160212
FILED AS OF DATE: 20160216
DATE AS OF CHANGE: 20160216
ISSUER:
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
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DELAFIELD JOHN D
CENTRAL INDEX KEY: 0001400003
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51072
FILM NUMBER: 161430997
MAIL ADDRESS:
STREET 1: 3633 136TH PLACE SE, STE 110
CITY: BELLEVUE
STATE: WA
ZIP: 98006
4
1
a4.xml
4
X0306
4
2016-02-12
0
0000864559
CASCADE MICROTECH INC
CSCD
0001400003
DELAFIELD JOHN D
9100 SW GEMINI DRIVE
BEAVERTON
OR
97008
1
0
1
0
Common Stock
2016-02-12
4
S
0
3000
19.6063
D
1697445
I
By Delafield Hambrecht Partners Fund, LP
Common Stock
2016-02-12
4
M
0
1250
0.00
A
105850
D
Common Stock
1500
I
By Spouse
Restricted Stock Units
0.00
2016-02-12
4
M
0
1250
0.0
D
2016-02-14
Common Stock
1250
1250
D
The reporting person is the Chairman of Delafield Hambrecht, Inc., which is the sole manager of the general partner of Delafield Hambrecht Partners Fund, LLP. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Delafield Hambrecht, Inc. and Delafield Hambrecht Partners Fund, LLP dated August 25, 2015.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.5100 to $19.6500 inclusive. The reporting person undertakes to provide to Cascade Microtech, Inc., any security holder of Cascade Microtech, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The reporting person is the Chairman of Delafield Hambrecht, Inc., which is the sole manager of the general partner of Delafield Hambrecht Partners Fund, LLP. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
These Restricted Stock Units do not carry a conversion price.
Each Restricted Stock Unit represents a right to receive one share of Cascade Microtech Inc. Common Stock upon vesting. Restricted Stock Units vest annually on the anniversary date of the award in four annual installments.
Restricted Stock Units have no expiration date.
James Nias / by Power of Attorney
2016-02-16