-----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, OjAdvQAClGTZXBTlrcJV47XzV9CRomxdwnCt4tsQaCLsDY2Ym5zOWfFgicJrWY2Q qsPewNN7rOzJKP4/fswz5A== 0000726514-08-000057.txt : 20080604 0000726514-08-000057.hdr.sgml : 20080604 20080604112840 ACCESSION NUMBER: 0000726514-08-000057 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080515 FILED AS OF DATE: 20080604 DATE AS OF CHANGE: 20080604 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: 0531 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: Harris Steven L CENTRAL INDEX KEY: 0001435750 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 08879541 BUSINESS ADDRESS: BUSINESS PHONE: 503-671-7062 MAIL ADDRESS: STREET 1: 13900 NW SCIENCE PARK DRIVE CITY: PORTLAND STATE: OR ZIP: 97229 3/A 1 edgardoc.xml PRIMARY DOCUMENT X0202 3/A 2008-05-15 2008-05-23 0 0000726514 ELECTRO SCIENTIFIC INDUSTRIES INC ESIO 0001435750 Harris Steven L 13900 NW SCIENCE PARK DR. PORTLAND OR 97229 0 1 0 0 VP of Research Dev & Eng Common Stock 75518 D Incentive Stock Option (right to buy) 16.58 2018-05-14 Common Stock 6886 D Incentive Stock Option (right to buy) 16.93 2013-08-14 Common Stock 6124 D Incentive Stock Option (right to buy) 22.83 2017-07-24 Common Stock 14000 D Non-Qualified Stock Option (right to buy) 16.58 2018-05-14 Common Stock 6114 D Non-Qualified Stock Option (right to buy) 16.93 2013-08-14 Common Stock 2752 D Non-Qualified Stock Option (right to buy) 19.84 2015-07-20 Common Stock 44000 D Non-Qualified Stock Option (right to buy) 20 2016-05-24 Common Stock 15000 D Non-Qualified Stock Option (right to buy) 24.52 2013-10-28 Common Stock 10000 D Non-Qualified Stock Option (right to buy) 25.5 2014-07-12 Common Stock 19608 D Non-Qualified Stock Option (right to buy) 27 2011-04-05 Common Stock 7085 D Non-Qualified Stock Option (right to buy) 34.57 2012-04-16 Common Stock 10190 D Non-Qualified Stock Option (right to buy) 52.75 2010-04-13 Common Stock 7800 D The ISO and NQ granted on this date vest together for 25% of the total shares on the first four anniversaries of the grant date. The ISO and NQ granted on this date vest together for 25% of the total shares on the first four anniversaries of the grant date. The original grants were for a total of 25,000 shares. The reporting person exercised 17,500 ISO shares prior to becoming subject to Section 16, leaving 6,124 ISO shares exercisable and 1,376 NQ shares exercisable. The original Form 3 reported the total shares originally granted without reflecting shares already exercised. Option becomes exercisable for 25% of the shares on the first four anniversaries of the grant date. Option becomes 100% exercisable on 5/26/06. The shares underlying the option are restricted from being sold for a period of 3 years from the grant date. Shares under options granted on 5/24/06 become 100% exercisable on 5/26/06. Shares underlying the option are restricted from being sold for a period of 3 years from the grant date. The sale restriction lapses with regard to 1/3 of the total shares on each of the first three anniversaries of the grant date. Options become exercisable for 25% of the shares on the first four anniversaries of the grant date. Effective June 28, 2004 the vesting of the option was accelerated to be 100% vested on June 28, 2004. As a result of this vesting acceleration, the original ISO / NQ split of the total shares granted was adjusted if necessary to comply with the IRS limitation. The ISO and NQ granted on this date vest together for 25% of the total shares on the first four anniversaries of the grant date. Effective January 25,2005, the vesting of the option was accelerated to be 100% vested on January 25, 2005. As a result of this vesting acceleration, the original ISO / NQ split of the total shares granted was adjusted if necessary to comply with the IRS limitation. Steven L Harris 2008-06-04 -----END PRIVACY-ENHANCED MESSAGE-----