Filing Details
- Accession Number:
- 0000726514-15-000044
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-18 18:51:42
- Reporting Period:
- 2015-05-14
- Filing Date:
- 2015-05-18
- Accepted Time:
- 2015-05-18 18:51:42
- 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 | Chief Financial Officer | 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 | 2015-05-14 | 42,000 | $0.00 | 199,489 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2015-05-15 | 3,522 | $5.53 | 195,967 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2015-05-15 | 8,687 | $5.53 | 187,280 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-05-15 | 961 | $5.51 | 186,319 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Rights | Acquisiton | 2015-05-14 | 84,000 | $0.00 | 84,000 | $5.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 84,000 | 2016-05-14 | 2025-05-14 | No | 4 | A | Direct |
Footnotes
- Payment of tax liability by delivering shares incident to the vesting of restricted stock units in accordance with Rule 16b-3.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 26, 2015.
- The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $5.49 to $5.61.
- The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $5.51 to $5.52.
- SOSAR becomes exercisable for 25% of the shares on the first four anniversaries of the grant date.
Billionaire Hedge Funds
