-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, D3zkqjzzftdICtsWBgr2kKvu6z72psggO+E5uRCgkhlRnF2mNuWQQgJWcgfE5j34 XEMr7Fqc+W+byda8Ad0M9Q== 0001005477-09-001704.txt : 20090320 0001005477-09-001704.hdr.sgml : 20090320 20090320163709 ACCESSION NUMBER: 0001005477-09-001704 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090318 FILED AS OF DATE: 20090320 DATE AS OF CHANGE: 20090320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NIERENBERG INVESTMENT MANAGEMENT CO CENTRAL INDEX KEY: 0001282683 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 09696691 MAIL ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D3 FAMILY FUND LP CENTRAL INDEX KEY: 0001282685 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 09696689 MAIL ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NIERENBERG DAVID CENTRAL INDEX KEY: 0001040899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 09696687 ISSUER: 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: 0329 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DIII OFFSHORE FUND LP CENTRAL INDEX KEY: 0001282684 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 09696688 BUSINESS ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 BUSINESS PHONE: 360-604-8600 MAIL ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: D3 OFFSHORE FUND LP DATE OF NAME CHANGE: 20040304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nierenberg Investment Management Offshore Inc CENTRAL INDEX KEY: 0001365764 STATE OF INCORPORATION: C5 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 09696690 BUSINESS ADDRESS: STREET 1: MONTAGUE STERLING CENTRE STREET 2: 3RD FLOOR CITY: NASSAU STATE: C5 ZIP: 00000 BUSINESS PHONE: 360-604-8600 MAIL ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 4 1 edgar123.xml FORM 4 X0303 4 2009-03-18 0 0000726514 ELECTRO SCIENTIFIC INDUSTRIES INC ESIO 0001282683 NIERENBERG INVESTMENT MANAGEMENT CO 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001365764 Nierenberg Investment Management Offshore Inc 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001282685 D3 FAMILY FUND LP 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001282684 DIII OFFSHORE FUND LP 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001040899 NIERENBERG DAVID 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 Common Stock 2009-03-18 4 S 0 16000 6.06 D 582762 I By The D3 Family Fund, LP Common Stock 2009-03-18 4 S 0 39000 6.06 D 607294 I By The DIII Offshore Fund, LP Common Stock 2009-03-19 4 S 0 13323 6.14 D 569439 I By The D3 Family Fund, LP Common Stock 2009-03-19 4 S 0 12000 6.14 D 595294 I By The DIII Offshore Fund, LP Common Stock 2009-03-20 4 S 0 5200 6.01 D 590094 I By The DIII Offshore Fund, LP Common Stock 2414476 I By The D3 Family Bulldog Fund, LP Common Stock 232475 I By The D3 Family Canadian Fund, LP Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. David Nierenberg, President, Nierenberg Investment Management Company, Inc. (NIMCO) 2009-03-20 David Nierenberg, President, Nierenberg Investment Management Offshore, Inc. (NIMO) 2009-03-20 David Nierenberg, Preisdent, NIMCO, General Partner of The D3 Family Fund, L.P. 2009-03-20 David Nierenberg, Preisdent, NIMO, General Partner of The DIII Offshore Fund, L.P. 2009-03-20 David Nierenberg 2009-03-20 -----END PRIVACY-ENHANCED MESSAGE-----