Filing Details

Accession Number:
0000726514-17-000079
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-13 20:04:56
Reporting Period:
2017-11-09
Accepted Time:
2017-11-13 20:04:56
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
726514 Electro Scientific Industries Inc ESIO Miscellaneous Electrical Machinery, Equipment & Supplies (3690) 930370304
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1421764 R Paul Oldham 13900 Nw Science Park Dr.
Portland OR 97229
Cfo, Sr. Vp Of Finance No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-11-09 10,000 $15.78 237,665 No 4 M Direct
Common Stock Disposition 2017-11-09 10,000 $23.48 227,665 No 4 S Direct
Common Stock Acquisiton 2017-11-09 20,000 $18.11 247,665 No 4 M Direct
Common Stock Disposition 2017-11-09 20,000 $23.49 227,665 No 4 S Direct
Common Stock Acquisiton 2017-11-09 90,000 $7.26 317,665 No 4 M Direct
Common Stock Disposition 2017-11-09 90,000 $23.49 227,665 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Incentive Stock Option (right to buy) Disposition 2017-11-09 10,000 $0.00 10,000 $15.78
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2017-11-09 20,000 $0.00 20,000 $18.11
Common Stock Stock Appreciation Rights Disposition 2017-11-09 90,000 $0.00 90,000 $7.26
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,000 2009-05-15 2018-05-14 No 4 M Direct
60,000 2009-01-07 2018-01-06 No 4 M Direct
0 2010-05-14 2019-05-13 No 4 M Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  2. Option originally granted on May 15, 2008 and provided for vesting in four equal annual installments commencing on May 15, 2009.
  3. Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009.
  4. The SOSAR was originally granted on May 14, 2009 and provided for vesting in four equal annual installments commencing on May 14, 2010.