SEC Form 4 · accession 0000726514-17-000079
ELECTRO SCIENTIFIC INDUSTRIES INC · ESIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul R Oldham
Officer — CFO, Sr. VP of Finance
Period of report
Nov 9, 2017
Accepted (ET)
Nov 13, 2017 · 8:04 pm EST
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 | Nov 9, 2017 | M | 10,000 | $15.78 | A | 237,665 | D | |
| Common StockF1 | Nov 9, 2017 | S | 10,000 | $23.4763 | D | 227,665 | D | |
| Common Stock | Nov 9, 2017 | M | 20,000 | $18.11 | A | 247,665 | D | |
| Common StockF1 | Nov 9, 2017 | S | 20,000 | $23.4907 | D | 227,665 | D | |
| Common Stock | Nov 9, 2017 | M | 90,000 | $7.26 | A | 317,665 | D | |
| Common StockF1 | Nov 9, 2017 | S | 90,000 | $23.4871 | D | 227,665 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2 | $15.78 | Nov 9, 2017 | M | 10,000 | D | May 15, 2009 | May 14, 2018 | Common Stock | 10,000 | 5,000 | D |
| Non-Qualified Stock Option (right to buy)F3 | $18.11 | Nov 9, 2017 | M | 20,000 | D | Jan 7, 2009 | Jan 6, 2018 | Common Stock | 20,000 | 60,000 | D |
| Stock Appreciation RightsF4 | $7.26 | Nov 9, 2017 | M | 90,000 | D | May 14, 2010 | May 13, 2019 | Common Stock | 90,000 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Option originally granted on May 15, 2008 and provided for vesting in four equal annual installments commencing on May 15, 2009.
- F3Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009.
- F4The SOSAR was originally granted on May 14, 2009 and provided for vesting in four equal annual installments commencing on May 14, 2010.