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
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- Option originally granted on May 15, 2008 and provided for vesting in four equal annual installments commencing on May 15, 2009.
- Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009.
- The SOSAR was originally granted on May 14, 2009 and provided for vesting in four equal annual installments commencing on May 14, 2010.
Billionaire Hedge Funds
