Filing Details
- Accession Number:
- 0000726514-17-000028
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-15 19:47:08
- Reporting Period:
- 2017-05-11
- Filing Date:
- 2017-05-15
- Accepted Time:
- 2017-05-15 19:47:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1435872 | Bing-Fai Wong | 13900 Nw Science Park Dr. Portland OR 97229 | No | No | No | Yes |
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 | 2017-05-11 | 12,500 | $6.71 | 125,551 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-11 | 12,500 | $8.48 | 113,051 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-11 | 10,000 | $5.63 | 123,051 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-11 | 10,000 | $8.48 | 113,051 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-11 | 40,000 | $7.26 | 153,051 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-11 | 40,000 | $8.48 | 113,051 | 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 | Stock Appreciation Rights | Disposition | 2017-05-11 | 10,000 | $0.00 | 10,000 | $5.63 |
| Common Stock | Stock Appreciation Rights | Disposition | 2017-05-11 | 12,500 | $0.00 | 12,500 | $6.71 |
| Common Stock | Stock Appreciation Rights | Disposition | 2017-05-11 | 40,000 | $0.00 | 40,000 | $7.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 30,000 | 2016-05-14 | 2025-05-14 | No | 4 | M | Direct |
| 12,500 | 2015-05-15 | 2024-05-15 | No | 4 | M | Direct |
| 0 | 2010-05-14 | 2019-05-13 | No | 4 | M | Direct |
Footnotes
- The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $8.45 to $8.51.
- SOSAR becomes exercisable for 25% of the shares on the first four anniversaries of the grant date.
- The SOSAR was originally granted on May 14, 2009 and provided for vesting in four equal annual installments commencing on May 14, 2010.
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