Eric Singer’s VIEX Capital Advisors recently filed a Form 13D with the SEC, updating the regulatory body on the latest pertinent information related to its position in Electro Scientific Industries, Inc. (NASDAQ:ESIO). The activist filing shows that the investment firm’s ownership position in the stock stands at 1.88 million shares, amounting to 6.0% of the company’s shares. The filing shows that in a series of transactions between February 29 and March 4, VIEX Capital sold just under 500,000 shares of the issuer. You can see the latest ownership position in the table below, while the filing is embedded below and on the following pages.
You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| VIEX Opportunities Fund | 585,411 | 585,411 | 585,411 | 1.9% | ||
| VIEX Special Opportunities Fund II | 1,295,945 | 1,295,945 | 1,295,945 | 4.2% | ||
| VIEX GP | 585,411 | 585,411 | 585,411 | 1.9% | ||
| VIEX Special Opportunities GP II | 1,295,945 | 1,295,945 | 1,295,945 | 4.2% | ||
| VIEX Capital Advisors | 1,881,356 | 1,881,356 | 1,881,356 | 6.0% | ||
| Eric Singer | 1,881,356 | 1,881,356 | 1,881,356 | 6.0% |
Page 1 of 12 SEC Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2(a)
(Amendment No. 3)1
Electro Scientific Industries, Inc.
(Name of Issuer)
Common Stock, without par value
(Title of Class of Securities)
285229100
(CUSIP Number)
ERIC SINGER
VIEX CAPITAL ADVISORS, LLC
825 Third Avenue, 33rd Floor
New York, New York 10022
STEVE WOLOSKY, ESQ.
OLSHAN FROME WOLOSKY LLP
Park Avenue Tower
65 East 55th Street
New York, New York 10022
(212) 451-2300
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
March 2, 2016
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨.
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.
_______________
1 The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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