UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
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OMB Number: 3235-0145
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CASCADE MICROTECH, INC.
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Common Stock, par value $0.01 per share
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147322101
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October 1, 2013
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(Date of Event which Requires Filing of this Statement)
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1
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Names of Reporting Persons
(1) CM Beteiligungs GmbH (“CMB”)
(2) Dr. Hans-Joerg Rotberg (“Rotberg”)
(3) Brockhaus Private Equity II Verwaltungs GmbH (“BPEV II”)
(4) Marco Brockhaus (“Brockhaus”)
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2
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) [ ]
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(b) [ ]
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3
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SEC Use Only
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4
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Citizenship or Place of Organization
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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Germany
Germany
Germany
Germany
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Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
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5 Sole Voting Power
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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-0-
-0-
-0-
-0-
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6 Shared Voting Power
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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1,608,387
1,608,387
1,608,387
1,608,387
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7 Sole Dispositive Power
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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-0-
-0-
-0-
-0-
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8 Shared Dispositive Power
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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1,608,387
1,608,387
1,608,387
1,608,387
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9
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Aggregate Amount Beneficially Owned by Each Reporting Person
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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1,608,387 (*)
1,608,387 (*)
1,608,387 (*)
1,608,387 (*)
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10
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ]
Not applicable.
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11
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Percent of Class Represented by Amount in Row (9)
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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9.99% (*)
9.99% (*)
9.99% (*)
9.99% (*)
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12
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Type of Reporting Person (See Instructions)
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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CO (a corporation organized under German law)
IN (an individual residing in Germany)
CO (a corporation organized under German law)
IN (an individual residing in Germany)
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(a)
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Name of Issuer
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Cascade Microtech, Inc.
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(b)
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Address of Issuer’s Principal Executive Offices
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9100 S.W. Gemini Drive, Beaverton, Oregon 97008
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(a)
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Name of Person Filing
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(1) CM Beteiligungs GmbH (“CMB”)
(2) Dr. Hans-Joerg Rotberg (“Rotberg”)
(3) Brockhaus Private Equity II Verwaltungs GmbH (“BPEV II”)
(4) Marco Brockhaus (“Brockhaus”)
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(b)
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Address of Principal Business Office or, if none, Residence
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(1) CMB
Noerdliche Muenchner Str. 23, Gruenwald, Germany 82031
(2) Rotberg
c/o Brockhaus Private Equity II Verwaltungs GmbH
Myliusstrasse 30, Frankfurt, Germany 60323
(3) BPEV II
Myliusstrasse 30, Frankfurt, Germany 60323
(4) Brockhaus
c/o Brockhaus Private Equity II Verwaltungs GmbH
Myliusstrasse 30, Frankfurt, Germany 60323
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(c)
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Citizenship
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(1) CMB
(2) Rotberg
(3) BPEV II
(4) Brockhaus
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Germany
Germany
Germany
Germany
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(d)
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Title of Class of Securities
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Common Stock, par value $0.01 per share
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(e)
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CUSIP Number
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147322101
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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[ ]
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Insurance Company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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[ ]
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
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(e)
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[ ]
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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[ ]
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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[ ]
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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[ ]
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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[ ]
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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[ ]
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A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J);
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(k)
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[ ]
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Group, in accordance with §240.13d-1(b)(1)(ii)(K).
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If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
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Item 4.
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Ownership
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(1) CMB
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1,608,387 (*)
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(2) Rotberg
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1,608,387 (*)
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(3) BPEV II
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1,608,387 (*)
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(4) Brockhaus
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1,608,387 (*)
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(1) CMB
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9.99% (*)
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(2) Rotberg
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9.99% (*)
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(3) BPEV II
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9.99% (*)
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(4) Brockhaus
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9.99% (*)
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Item 5.
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Ownership of Five Percent or Less of a Class
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
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Item 8.
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Identification and Classification of Members of the Group
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Item 9.
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Notice of Dissolution of Group
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Item 10.
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Certification
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99.1
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Joint Filing Agreement by and among CM Beteiligungs GmbH, Dr. Hans-Joerg Rotberg, Brockhaus Private Equity II Verwaltungs GmbH and Marco Brockhaus.
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CM BETEILIGUNGS GMBH
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By: | /s/ Dr. Hans-Joerg Rotberg | ||
Name: Dr. Hans-Joerg Rotberg
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Its: Managing Director (Geschäftsführer)
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/s/ Dr. Hans-Joerg Rotberg | |||
DR. HANS-JOERG ROTBERG
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BROCKHAUS PRIVATE EQUITY II
VERWALTUNGS GMBH
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By: | /s/ Marco Brockhaus | ||
Name: Marco Brockhaus
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Its: Managing Director (Geschäftsführer)
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/s/ Marco Brockhaus | |||
MARCO BROCKHAUS
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