0000929638-14-000848.txt : 20141107 0000929638-14-000848.hdr.sgml : 20141107 20141107150717 ACCESSION NUMBER: 0000929638-14-000848 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20141107 DATE AS OF CHANGE: 20141107 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASCADE MICROTECH INC CENTRAL INDEX KEY: 0000864559 STANDARD INDUSTRIAL CLASSIFICATION: INSTRUMENTS FOR MEAS & TESTING OF ELECTRICITY & ELEC SIGNALS [3825] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80457 FILM NUMBER: 141204531 BUSINESS ADDRESS: STREET 1: 9100 SW GEMINI DRIVE CITY: BEAVERTON STATE: OR ZIP: 97008 BUSINESS PHONE: 5036011000 MAIL ADDRESS: STREET 1: 9100 SW GEMINI DRIVE CITY: BEAVERTON STATE: OR ZIP: 97008 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CM BETEILIGUNGS GMBH CENTRAL INDEX KEY: 0001588312 IRS NUMBER: 000000000 STATE OF INCORPORATION: 2M FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: NOERDLICHE MUENCHNER STR. 23 CITY: GRUENWALD STATE: 2M ZIP: 82031 BUSINESS PHONE: 49 69 7191 6170 MAIL ADDRESS: STREET 1: NOERDLICHE MUENCHNER STR. 23 CITY: GRUENWALD STATE: 2M ZIP: 82031 FORMER COMPANY: FORMER CONFORMED NAME: ATT HOLDING GMBH DATE OF NAME CHANGE: 20131002 SC 13G/A 1 a65787_13ga.htm a65787_13ga.htm
   
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
  
OMB APPROVAL
 
OMB Number:  3235-0145
 
 


SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1) *


CASCADE MICROTECH, INC.
(Name of Issuer)

Common Stock, par value $0.01 per share
(Title of Class of Securities)

 
147322101
  
(CUSIP Number)

December 31, 2014
(Date of Event which Requires Filing of this Statement)


Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

[  ]           Rule 13d-1(b)

[X]           Rule 13d-1(c)

[  ]           Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 
 
 
 
 

1
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”)
 
2
Check the Appropriate Box if a Member of a Group (See Instructions)
 
 
(a)           [  ]
 
  
 
(b)           [  ]
 
  
3
SEC Use Only
 
  
4
Citizenship or Place of Organization
 
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
Germany
Germany
Germany
Germany
 
Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
5      Sole Voting Power
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
 
 
-0-
-0-
-0-
-0-
6      Shared Voting Power
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
 
 
-0-
-0-
-0-
-0-
7      Sole Dispositive Power
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
 
 
-0-
-0-
-0-
-0-
8      Shared Dispositive Power
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
 
-0-
-0-
-0-
-0-
 
9
Aggregate Amount Beneficially Owned by Each Reporting Person
 
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
 
-0-
-0-
-0-
-0-
10
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)     [ ]
Not applicable.
 
11
Percent of Class Represented by Amount in Row (9)
 
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
 
-0-
-0-
-0-
-0-
12
Type of Reporting Person (See Instructions)
 
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
 
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)
 

 
 
 

Item 1.
 
(a)
 
  
Name of Issuer
 
   
Cascade Microtech, Inc.
 
(b)
 
  
Address of Issuer’s Principal Executive Offices
 
   
9100 S.W. Gemini Drive, Beaverton, Oregon  97008
 

Item 2.
 
(a)
 
  
Name of Person Filing
 
   
(1)  CM Beteiligungs GmbH (“CMB”)
(2)  Dr. Hans-Joerg Rotberg (“Rotberg”)
(3)  Brockhaus Private Equity II Verwaltungs GmbH (“BPEV II”)
(4)  Marco Brockhaus (“Brockhaus”)
 
(b)
 
  
Address of Principal Business Office or, if none, Residence
 
   
(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
 
(c)
  
Citizenship
       
(1)  CMB
(2)  Rotberg
(3)  BPEV II
(4)  Brockhaus
   
 
     Germany
     Germany
     Germany
     Germany
(d)
 
  
Title of Class of Securities
 
   
Common Stock, par value $0.01 per share
 
(e)
 
  
CUSIP Number
 
   
147322101

 
 
 
 
 
Item 3.
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:
 
(a)
 
  
[ ]
 
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
 
(b)
 
  
[ ]
 
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
 
(c)
 
  
[ ]
 
Insurance Company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
 
(d)
 
  
[ ]
 
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
 
(e)
 
  
[ ]
 
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
 
(f)
 
  
[ ]
 
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
(g)
 
  
[ ]
 
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
 
(h)
 
  
[ ]
 
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
(i)
 
  
[ ]
 
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);
 
(j)
 
  
[ ]
 
A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J);
 
(k)
 
  
[ ]
 
Group, in accordance with §240.13d-1(b)(1)(ii)(K).
     
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
 
 
Item 4.
Ownership
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 
(a)      Amount beneficially owned:
 
 
(1)  CMB
-0-
 
(2)  Rotberg
-0-
 
(3)  BPEV II
-0-
 
(4)  Brockhaus
-0-

(b)     Percent of class:
 
 
(1)  CMB
-0-
 
(2)  Rotberg
-0-
 
(3)  BPEV II
-0-
 
(4)  Brockhaus
-0-

 
 
 
 
 
(c) Number of shares as to which the person has:
 
(1)    CMB
(i)           Sole power to vote or to direct the vote:  -0-
(ii)          Shared power to vote or to direct the vote:  -0-
(iii)         Sole power to dispose or direct the disposition of:  -0-
(iv)         Shared power to dispose or to direct the disposition of: -0-

(2)    Rotberg
        (i)           Sole power to vote or to direct the vote:  -0-
(ii)          Shared power to vote or to direct the vote:  -0-
(iii)         Sole power to dispose or direct the disposition of: -0-
(iv)         Shared power to dispose or to direct the disposition of: -0-

(3)    BPEV II
        (i)           Sole power to vote or to direct the vote:  -0-
(ii)          Shared power to vote or to direct the vote:  -0-
(iii)         Sole power to dispose or direct the disposition of:  -0-
(iv)         Shared power to dispose or to direct the disposition of: -0-

(4)    Brockhaus
(i)           Sole power to vote or to direct the vote:  -0-
(ii)          Shared power to vote or to direct the vote:  -0-
(iii)         Sole power to dispose or direct the disposition of: -0-
(iv)         Shared power to dispose or to direct the disposition of: -0-

 
Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X].
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person
 
Not applicable.
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
 
Not applicable.

Item 8.
Identification and Classification of Members of the Group
 
Not applicable.

Item 9.
Notice of Dissolution of Group
 
Not applicable.
 
 
 
 

 
Item 10.
Certification
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under Section 240.14a-11.

 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
Exhibits
Exhibit

99.1
Joint Filing Agreement by and among CM Beteiligungs GmbH, Dr. Hans-Joerg Rotberg, Brockhaus Private Equity II Verwaltungs GmbH and Marco Brockhaus.
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
Date:       November 7, 2014
 
 
CM BETEILIGUNGS GMBH
       
       
 
By:
/s/Dr. Hans-Joerg Rotberg
  
   
Name:  Dr. Hans-Joerg Rotberg
  
   
Its:  Managing Director (Geschäftsführer)
  
       
       
       
 
/s/ Dr. Hans-Joerg Rotberg
  
   
DR. HANS-JOERG ROTBERG
  
       
       
 
BROCKHAUS PRIVATE EQUITY  II
 
    VERWALTUNGS GMBH
       
       
 
By:
/s/Marco Brockhaus 
  
   
Name:  Marco Brockhaus
  
   
Its:  Managing Director (Geschäftsführer)
  
       
       
 
 /s/Marco Brockhaus
  
   
MARCO BROCKHAUS
  
 
 
 
 
 
 
 
 EX-99.1 2 a65787_exhibit99-1.htm a51320_exhibit99-1.htm
Exhibit 99.1
JOINT FILING AGREEMENT
OF SCHEDULE 13G AND ALL FUTURE AMENDMENTS TO
SCHEDULE 13G

Each of the undersigned hereby agrees to file jointly the Statement on Schedule 13G to which this Agreement is attached, and any amendments to the Statement on Schedule 13G (the “Schedule 13G”) with respect to the shares of Common Stock, par value $0.01 per share, of Cacade Microtech, Inc. which may be deemed necessary, pursuant to Regulation 13D under the Securities Exchange Act of 1934, as amended.

It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any future amendments to the Schedule 13G, and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness or accuracy of information concerning any other party unless such party knows or has reason to believe that such information is inaccurate.

It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the Schedule 13G filed on behalf of each of the parties hereto.

Date:      October 10, 2013
 
 
 
CM BETEILIGUNGS GMBH
 
 
  By:    /s/ Dr. Hans-Joerg Rotberg  
   
Name:  Dr. Hans-Joerg Rotberg
   
Its:  Managing Director (Geschäftsführer)
   
 
 
 
  
  /s/ Dr. Hans-Joerg Rotberg  
   
DR. HANS-JOERG ROTBERG
   
 
 
  
 
BROCKHAUS PRIVATE EQUITY  II
    VERWALTUNGS GMBH
 
 
  By:  /s/ Marco Brockhaus  
   
Name:  Marco Brockhaus
   
Its:  Managing Director (Geschäftsführer)
 
 
  /s/ Marco Brockhaus  
   
MARCO BROCKHAUS