SEC Form 4 · accession 0001104659-15-072797
CASCADE MICROTECH INC · CSCD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John D Delafield
Director · 10% Owner
Period of report
Oct 22, 2015
Accepted (ET)
Oct 26, 2015 · 6:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000864559
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Oct 22, 2015 | S | 1,855 | $16.00 | D | 17,145 | I | By Delafield Hambrecht Inc. |
| Common Stock | holding | — | — | — | 103,350 | D | ||
| Common Stock | holding | — | — | — | 1,500 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 1,786,311 | I | By Delafield Hambrecht Partners Fund, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The reporting person is the Chairman of Delafield Hambrecht, Inc. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F3The 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.