SEC Form 4/A · accession 0001104659-16-105152
CASCADE MICROTECH INC · CSCD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael D Burger
Officer — President and CEO
Period of report
Feb 5, 2016
Accepted (ET)
Mar 15, 2016 · 1:17 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 StockF1,F5 | Feb 5, 2016 | M | 6,100 | $0.00 | A | 79,239 | D | |
| Common StockF2,F5 | Feb 5, 2016 | F | 2,183 | $20.15 | D | 77,056 | D | |
| Common StockF1,F5 | Feb 5, 2016 | M | 3,750 | $0.00 | A | 80,806 | D | |
| Common StockF2,F5 | Feb 5, 2016 | F | 1,364 | $20.15 | D | 79,442 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F3,F4 | $0.00 | Feb 5, 2016 | M | 6,100 | D | Feb 6, 2016 | — | Common Stock | 6,100 | 18,300 | D |
| Restricted Stock UnitF1,F3,F4 | $0.00 | Feb 5, 2016 | M | 3,750 | D | Feb 7, 2016 | — | Common Stock | 3,750 | 7,500 | D |
Explanation of responses
- F1These Restricted Stock Units do not carry a conversion price.
- F2Per the terms of the agreement and using aggregate market value sufficient to pay applicable taxes, shares were withheld and surrendered to the Company to satisfy tax withholding obligation in connection with the vesting of Restricted Stock Units.
- F3Each 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.
- F4Restricted Stock Units have no expiration date.
- F5Due to administrative error, an amendment is being made to the Number of Securities.