0000928598-01-500262.txt : 20011018
0000928598-01-500262.hdr.sgml : 20011018
ACCESSION NUMBER: 0000928598-01-500262
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20011010
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ELECTRO SCIENTIFIC INDUSTRIES INC
CENTRAL INDEX KEY: 0000726514
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
IRS NUMBER: 930370304
STATE OF INCORPORATION: OR
FISCAL YEAR END: 0531
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-34524
FILM NUMBER: 1755851
BUSINESS ADDRESS:
STREET 1: 13900 NW SCIENCE PARK DR
CITY: PORTLAND
STATE: OR
ZIP: 97229
BUSINESS PHONE: 5036414141
MAIL ADDRESS:
STREET 1: 13900 NW SCIENCE PARK DRIVE
CITY: PORTLAND
STATE: OR
ZIP: 97229-5497
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: EQSF ADVISERS INC ET AL
CENTRAL INDEX KEY: 0000928598
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 133354359
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 767 THIRD AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017-2023
BUSINESS PHONE: 212-888-6685
MAIL ADDRESS:
STREET 1: 767 THIRD AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017-2023
SC 13G/A
1
electro13g.txt
13G FILING
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO.9)
Electro Sci. Ind., Inc.
------------------------------------------------------
(NAME OF ISSUER)
COMMON STOCK, NO PAR VALUE PER SHARE
------------------------------------------------------
(TITLE OF CLASS OF SECURITIES)
285229100
------------------------------------------------------
(CUSIP NUMBER)
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 the
disclosures provided in a prior cover page.
The information required in 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).
--------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
EQSF ADVISERS, INC.
(EIN 13-3354359)
--------------------------------------------------------------
--------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------
--------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------
--------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK CORPORATION
--------------------------------------------------------------
--------------------------------------------------------------
5 SOLE VOTING POWER
2,802,200
NUMBER OF ---------------------------------------------
---------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
---------------------------------------------
---------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 2,885,100
---------------------------------------------
---------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
--------------------------------------------------------------
--------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
2,885,100
--------------------------------------------------------------
--------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
[ ]
--------------------------------------------------------------
--------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.60%
--------------------------------------------------------------
--------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IA
--------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
--------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
M.J. WHITMAN ADVISERS, INC.
(EIN 13-3686379)
--------------------------------------------------------------
--------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------
--------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------
--------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK CORPORATION
--------------------------------------------------------------
--------------------------------------------------------------
5 SOLE VOTING POWER
588,325
NUMBER OF ---------------------------------------------
---------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY NONE
---------------------------------------------
---------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 621,830
---------------------------------------------
---------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
NONE
--------------------------------------------------------------
--------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
621,830
--------------------------------------------------------------
--------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
[ ]
--------------------------------------------------------------
--------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11
2.29%
--------------------------------------------------------------
--------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IA
--------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
--------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
MARTIN J. WHITMAN
--------------------------------------------------------------
--------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------
--------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------
--------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------
--------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF NONE (SEE ITEM 4)
---------------------------------------------
---------------------------------------------
6 SHARED VOTING POWER
SHARES
NONE
BENEFICIALLY
OWNED BY
---------------------------------------------
---------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING NONE (SEE ITEM 4)
---------------------------------------------
---------------------------------------------
PERSON WITH 8 SHARED DISPOSITIVE POWER
NONE
--------------------------------------------------------------
--------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
-0- (SEE ITEM 4)
--------------------------------------------------------------
--------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
[ ]
--------------------------------------------------------------
--------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
-0-
--------------------------------------------------------------
--------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
ITEM 1.
(A) NAME OF ISSUER:
Electro Sci. Ind., Inc. (the "Issuer").
(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES OR,IF NONE, RESIDENCE:
13900 N.W. Science Park Drive, Portland, OR 97229
ITEM 2.
(A) NAME OF PERSON FILING:
This schedule is being jointly filed by EQSF
Advisers, Inc. ("EQSF"), M.J. Whitman Advisers, Inc.
("MJWA") and Martin J. Whitman, the Chief Executive
Officer of EQSF and MJWA and controlling person of EQSF
and MJWA. (EQSF, MJWA and Martin J. Whitman are sometimes
collectively referred to hereinafter as "Filer").
Attached hereto as an exhibit is a copy of the joint
Schedule 13G filing agreement among the reporting persons.
(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE:
The address of the principal executive office of
EQSF, MJWA and Mr. Whitman is: 767 Third Avenue, New
York, New York 10017-2023.
(C) CITIZENSHIP:
The citizenship or place of organization of each of the reporting
persons is as follows:
EQSF
New York State Corporation.
MJWA
New York State Corporation.
MARTIN J. WHITMAN
United States Citizen.
(D) TITLE OF CLASS OF SECURITIES:
Common Stock, no par value per share.
(E) CUSIP NUMBER:
285229100
ITEM 3. IF THIS STATEMENT IS BEING FILED PURSUANT TO RULES 13D-1(B), OR
13D-2(B), CHECK WHETHER THE PERSON FILING IS A:
(E) Investment Adviser registered under section 203 OF THE INVESTMENT
ADVISERS ACT OF 1940 (EQSF and MJWA).
ITEM 4. OWNERSHIP.
(a) & (b) EQSF beneficially owns 2,885,100 shares, or 10.60% of the
class of securities of the issuer. MJWA beneficially owns 621,830 shares, or
2.29% of the class of securities of the issuer.
(c) (i) EQSF: 2,802,200
MJWA: 588,325
(ii) Not applicable.
(iii) EQSF: 2,885,100
MJWA: 621,830
(iv) Not applicable.
Mr. Whitman disclaims beneficial ownership of all
such shares.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Sun America Style Select Fund, an investment company registered under the
Investment Company Act of 1940, has the right to receive dividends from, and the
proceeds from the sale of, 69,500 of the shares reported by EQSF, Third Avenue
Small Cap Value Fund, an investment company registered under the Investment
Company Act of 1940, has the right to receive dividends from, and the proceeds
from the sale of, 305,800 of the shares reported by EQSF, Third Avenue Value
Portfolio of the WRL Series Fund, an investment company registered under the
Investment Company Act of 1940, has the right to receive dividends from, and the
proceeds from the sale of 235,800 of the shares reported by EQSF, American
Express Partners Small-Cap Value Portfolio, an investment company registered
under the Investment Company Act of 1940, has the right to receive dividends
from, and the proceeds from the sale of, 77,600 of the shares reported by EQSF,
Third Avenue Variable Portfolio of the Third Avenue Variable Series Trust, an
investment company registered under the Investment Company Act of 1940, has
the right to receive dividends from, and the proceeds from the sale of 108,800
of the shares reported by EQSF, American Express Variable Annuity, an
investment company registered under the Investment Company Act of 1940, has
the right to receive dividends from, and the proceeds from the sale of 5,300 of
the shares reported by EQSF, Integrity Life Legends Third Avenue Value Fund, an
investment company registered under the Investment Company Act of 1940, has
the right to receive dividends from, and the proceeds from the sale of 47,800
of the shares reported by EQSF, and Third Avenue Value Fund, an investment
company registered under the Investment Company Act of 1940, has the right to
receive dividends from, and the proceeds from the sale of 2,034,500 of the
shares reported by EQSF. Various clients for whom MJWA acts as investment
advisor have the right to receive dividends from, and the proceeds of the sale
of, the shares reported by MJWA.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not Applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect of
changing or influencing the control of the issuer of such securities and were
not acquired in connection with or as a participant in any transaction having
such purposes or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
October 10, 2001
---------------------------
(Date)
EQSF ADVISERS, INC.
BY:/S/ MARTIN J. WHITMAN
------------------------
Martin J. Whitman
Chairman, President and Chief Executive Officer
M.J. WHITMAN ADVISERS, INC.
BY:/S/ MARTIN J. WHITMAN
----------------------
Martin J. Whitman
Chairman and Chief Executive Officer
/S/ MARTIN J. WHITMAN
-----------------------
Martin J. Whitman, President
EX-1
3
electrojoint.txt
JOINT FILING AGREEMENT
Exhibit 1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1 (f) under the Securities Exchange Act of
1934, as amended, the undersigned hereby agree to the joint filing with all
other Reporting Entities (as such term is defined in the Schedule 13G) on behalf
of each of them of a statement on Schedule 13G (including amendments thereto)
with respect to the Common Stock, no par value per share, of Electro Sci. Ind.
Inc., and that this Agreement be included as an Exhibit to such joint filing.
This Agreement may be executed in any number of counterparts all of which taken
together shall constitute one and the same instrument.
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 10th
day of October, 2001.
EQSF ADVISERS, INC.
By:/s/ MARTIN J. WHITMAN
--------------------------
Martin J. Whitman
Chairman, President and Chief
Executive Officer
M.J. WHITMAN ADVISERS, INC.
By:/s/ MARTIN J. WHITMAN
--------------------------
Martin J. Whitman
Chairman and Chief Executive Officer
/s/ MARTIN J. WHITMAN
--------------------------
Martin J. Whitman