SEC Form 4 · accession 0000726514-15-000039
ELECTRO SCIENTIFIC INDUSTRIES INC · ESIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert DeBakker
Officer — Vice President of Operations
Period of report
May 14, 2015
Accepted (ET)
May 18, 2015 · 6:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000726514
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 14, 2015 | A | 25,000 | $0.00 | A | 144,861 | D | |
| Common Stock | May 15, 2015 | F | 1,957 | $5.53 | D | 142,904 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF2 | $5.63 | May 14, 2015 | A | 50,000 | A | May 14, 2016 | May 14, 2025 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Payment of tax liability by delivering shares incident to the vesting of restricted stock units in accordance with Rule 16b-3.
- F2SOSAR becomes exercisable for 25% of the shares on the first four anniversaries of the grant date.