0000726514-13-000002.txt : 20130131 0000726514-13-000002.hdr.sgml : 20130131 20130131153838 ACCESSION NUMBER: 0000726514-13-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130130 FILED AS OF DATE: 20130131 DATE AS OF CHANGE: 20130131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAUBERT RICHARD J CENTRAL INDEX KEY: 0001230508 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 13562472 MAIL ADDRESS: STREET 1: 14242 S CANYON DR CITY: PHOENIX STATE: AZ ZIP: 85048 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-01-30 0 0000726514 ELECTRO SCIENTIFIC INDUSTRIES INC ESIO 0001230508 FAUBERT RICHARD J 13900 NW SCIENCE PARK DRIVE PORTLAND OR 97229 1 0 0 0 Stock Option (right to buy) 17.17 2013-01-30 4 D 0 6000 D 2013-07-30 Common Stock 6000 49000 D Stock Option (right to buy) 16.37 2013-01-30 4 A 0 6000 A 2013-07-30 Common Stock 6000 55000 D Stock Option (right to buy) 24.02 2013-01-30 4 D 0 24000 D 2013-10-29 Common Stock 24000 31000 D Stock Option (right to buy) 23.22 2013-01-30 4 A 0 24000 A 2013-10-29 Common Stock 24000 55000 D Stock Option (right to buy) 25.75 2013-01-30 4 D 0 10000 D 2014-07-30 Common Stock 10000 45000 D Stock Option (right to buy) 24.95 2013-01-30 4 A 0 10000 A 2014-07-30 Common Stock 10000 55000 D Stock Option (right to buy) 19.42 2013-01-30 4 D 0 10000 D 2015-07-21 Common Stock 10000 45000 D Stock Option (right to buy) 18.62 2013-01-30 4 A 0 10000 A 2015-07-21 Common Stock 10000 55000 D Stock Option (right to buy) 19.92 2013-01-30 4 D 0 5000 D 2016-05-25 Common Stock 5000 50000 D Stock Option (right to buy) 19.12 2013-01-30 4 A 0 5000 A 2016-05-25 Common Stock 5000 55000 D The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on July 31, 2003 and provided for vesting in four equal annual installments commencing on July 31, 2004. The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 30, 2003 and provided for vesting in three equal annual installments commencing on October 30, 2004. The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on July 31, 2004 and provided for vesting in twelve equal monthly installments commencing on August 31, 2004. The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on July 21, 2005 and provided for full vesting on May 26, 2006. There was a three-year sale restriction on the underlying shares which lapsed on July 20, 2008. The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 26, 2006 and provided for immediate vesting on May 26, 2006. There was a three-year sale restriction on the underlying shares which lapsed on May 25, 2009. By: Kerry L Mustoe for Richard J Faubert 2013-01-30