- Initial Statement of Beneficial Ownership (3)
April 05 2010 - 1:56PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Expires:
February 28, 2011
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Killian Jeffrey A
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2010
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3. Issuer Name
and
Ticker or Trading Symbol
CASCADE MICROTECH INC [CSCD]
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(Last)
(First)
(Middle)
CASCADE MICROTECH INC., 2430 NW 206TH AVENUE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer /
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(Street)
BEAVERTON, OR 97006
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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5542
(1)
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(4)
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(5)
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Common Stock
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7500
(4)
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(3)
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D
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Restricted Stock Units
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(6)
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(5)
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Common Stock
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10000
(6)
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(3)
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D
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Explanation of Responses:
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(
1)
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Holdings include 4,084 shares acquired on October 30, 2009 pursuant to the Company's 2004 Employee Stock Purchase Plan
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(
2)
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Holdings include 2,500 shares acquired through the vesting of a Restricted Stock Unit Award on June 3, 2009. See Footnote 4. 1,042 shares surrendered to the Company as payment to satisfy tax withholding obligation in connection with this vesting.
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(
3)
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Restricted Stock Units carry no conversion price
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(
4)
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Award of 10,000 Restricted Stock Units made on August 8, 2008. Each Restricted Stock Unit represents a right to receive one share of Cascade Microtech Inc. Common Stock upon vesting. Provided that the individual continues to hold the status of Employee, then 2,500 Restricted Stock Units cliff vest annually on the anniversary date of the grant. 7,500 RSUs remain unvested. Vesting dates for this award were/are: June 3, 2009, June 3, 2010, June 3, 2011 and June 3, 2012.
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(
5)
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Restricted Stock Units carry no expiration date.
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(
6)
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Award of 10,000 Restricted Stock Units made on February 24, 2010. Each Restricted Stock Unit represents a right to receive one share of Cascade Microtech Inc. Common Stock upon vesting. Provided that the individual continues to hold the status of employee, then these Restricted Stock Units cliff vest annually in one installment of 10,000 shares on the anniversary date of the grant, February 24, 2011.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Killian Jeffrey A
CASCADE MICROTECH INC.
2430 NW 206TH AVENUE
BEAVERTON, OR 97006
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Chief Financial Officer
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Signatures
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Madelaine Salas by Power of Attorney
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4/2/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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