SEC Form 4 · accession 0001140361-15-020804
ELECTRO SCIENTIFIC INDUSTRIES INC · ESIO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
May 14, 2015
Accepted (ET)
May 18, 2015 · 9:18 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 StockF2,F1 | May 14, 2015 | A | 12,000 | $0.00 | A | 571,683 | I | By The D3 Family Fund, LP |
| Common StockF1 | holding | — | — | — | 2,048,494 | I | By The D3 Family Bulldog Fund, LP | |
| Common StockF1 | holding | — | — | — | 152,903 | I | By The DIII Offshore 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 Persons' pecuniary interest therein.
- F2Mr. Nierenberg has been granted 12,000 restricted stock units that vest 100% on August 18,2016 based on continued service as a Director. The Reporting Persons take the position that those units, and the shares issuable upon their vesting, are beneficially owned by the Reporting Persons as reported above.