Filing Details
- Accession Number:
- 0001104659-11-066026
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-11-23 12:39:56
- Reporting Period:
- 2011-11-08
- Filing Date:
- 2011-11-23
- Accepted Time:
- 2011-11-23 12:39:56
- Original Submission Date:
- 2011-11-10
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
864559 | Cascade Microtech Inc | CSCD | Instruments For Meas & Testing Of Electricity & Elec Signals (3825) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1400003 | D John Delafield | 3633 136Th Place Se, Ste 110 Bellevue WA 98006 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2011-11-08 | 15,000 | $2.80 | 1,268,431 | No | 4 | P | Indirect | By Delafield Hambrecht Partners Fund, LP |
Common Stock | Acquisiton | 2011-11-08 | 60,000 | $2.90 | 1,328,431 | No | 4 | P | Indirect | By Delafield Hambrecht Partners Fund, LP |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Delafield Hambrecht Partners Fund, LP |
No | 4 | P | Indirect | By Delafield Hambrecht Partners Fund, LP |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 62,500 | Direct | |
Common Stock | 1,500 | Indirect | By spouse |
Common Stock | 25,000 | Indirect | By Delafield Hambrecht Inc. |
Footnotes
- Original Form 4 included the 1,500 shares held by spouse as held by Mr. Delafield. This amended form is to correct share ownership.
- The reporting person's original Form 4, and the next Form 4 filed by the reporting person after the date of the original Form 4, both omitted to check the box indicating that the reporting person was also reporting as a 10% owner.
- 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.
- Open market purchase of a total of 75,000 shares of common stock.