SEC Form 4 · accession 0001104659-15-078414
CASCADE MICROTECH INC · CSCD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John D Delafield
Director
Period of report
Nov 11, 2015
Accepted (ET)
Nov 12, 2015 · 8:13 pm EST
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,F3 | Nov 11, 2015 | S | 3,000 | $16.1521 | D | 14,145 | I | By Delafield Hambrecht Inc. |
| Common Stock | holding | — | — | — | 103,350 | D | ||
| Common Stock | holding | — | — | — | 1,500 | I | By Spouse | |
| Common StockF4 | 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 price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.1500 to $16.1800 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.
- F3The 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.
- F4The 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.