SEC Form 4 · accession 0001140361-15-003305
ELECTRO SCIENTIFIC INDUSTRIES INC · ESIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
David Nierenberg
10% Owner
DIII Offshore Fund, LP
10% Owner
D3 Family Canadian Fund, LP
10% Owner
Period of report
Jan 30, 2015
Accepted (ET)
Jan 30, 2015 · 4:22 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 StockF2,F1 | Jan 30, 2015 | J | 3,612 | $0.00 | D | 0 | I | By The D3 Family Canadian Fund, LP |
| Common StockF2,F1 | Jan 30, 2015 | J | 249,472 | $0.00 | D | 152,903 | I | By the DIII Offshore Fund, LP |
| Common StockF1 | holding | — | — | — | 559,683 | I | By The D3 Family Fund, LP | |
| Common StockF1 | holding | — | — | — | 2,048,494 | I | By The D3 Family Bulldog Fund, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.
- F2Represents a pro-rata, in-kind distribution by the reporting person to limited partners of the reporting person in connection with the liquidation of such limited partners' interest in the reporting person.