0000726514-13-000006.txt : 20130201 0000726514-13-000006.hdr.sgml : 20130201 20130201100703 ACCESSION NUMBER: 0000726514-13-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130130 FILED AS OF DATE: 20130201 DATE AS OF CHANGE: 20130201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DeBakker Robert CENTRAL INDEX KEY: 0001306671 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 13565000 MAIL ADDRESS: STREET 1: 13900 NW SCIENCE PARK DR. CITY: PORTLAND STATE: OR ZIP: 97229 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 0001306671 DeBakker Robert 13900 NW SCIENCE PARK DR. PORTLAND OR 97229 0 1 0 0 VP Worldwide Operations Emp Stock Option (right to buy) 17.32 2013-01-30 4 D 0 50000 D 2014-09-26 Common Stock 50000 168000 D Emp Stock Option (right to buy) 16.52 2013-01-30 4 A 0 50000 A 2014-09-26 Common Stock 50000 218000 D Emp Stock Option (right to buy) 19.84 2013-01-30 4 D 0 38000 D 2015-07-20 Common Stock 38000 180000 D Emp Stock Option (right to buy) 19.04 2013-01-30 4 A 0 38000 A 2015-07-20 Common Stock 38000 218000 D Emp Stock Option (right to buy) 20 2013-01-30 4 D 0 35000 D 2016-05-24 Common Stock 35000 183000 D Emp Stock Option (right to buy) 19.2 2013-01-30 4 A 0 35000 A 2016-05-24 Common Stock 35000 218000 D Emp Stock Option (right to buy) 22.83 2013-01-30 4 D 0 14000 D 2017-07-24 Common Stock 14000 204000 D Emp Stock Option (right to buy) 22.03 2013-01-30 4 A 0 14000 A 2017-07-24 Common Stock 14000 218000 D Emp Stock Option (right to buy) 16.58 2013-01-30 4 D 0 12000 D 2018-05-14 Common Stock 12000 206000 D Emp Stock Option (right to buy) 15.78 2013-01-30 4 A 0 12000 A 2018-05-14 Common Stock 12000 218000 D Stock Apprec Rights 8.26 2013-01-30 4 D 0 50000 D 2019-05-13 Common Stock 50000 168000 D Stock Apprec Rights 7.26 2013-01-30 4 A 0 50000 A 2019-05-13 Common Stock 50000 218000 D Stock Apprec Rights 14.64 2013-01-30 4 D 0 11000 D 2020-05-12 Common Stock 11000 207000 D Stock Apprec Rights 13.84 2013-01-30 4 A 0 11000 A 2020-05-12 Common Stock 11000 218000 D Stock Apprec Rights 18.82 2013-01-30 4 D 0 8000 D 2021-05-11 Common Stock 8000 210000 D Stock Apprec Rights 18.02 2013-01-30 4 A 0 8000 A 2021-05-11 Common Stock 8000 218000 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 September 27, 2004 and provided for vesting in four equal annual installments commencing on September 27, 2005. 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 20, 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 19, 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 24, 2006 and provided for full vesting on May 26, 2006. There was a three-year sale restriction on the underlying shares which lapsed one third each year for the first three years. 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 25, 2007 and provided for vesting in four equal annual installments commencing on July 25, 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 15, 2008 and provided for vesting in four equal annual installments commencing on May 15, 2009. The two reported transactions involved an amendment of an outstanding SOSAR, resulting in the deemed cancellation of the "old" SOSAR and the grant of a replacement SOSAR. The SOSAR was originally granted on May 14, 2009 and provides for vesting in four equal annual installments commencing on May 14, 2010. The two reported transactions involved an amendment of an outstanding SOSAR, resulting in the deemed cancellation of the "old" SOSAR and the grant of a replacement SOSAR. The SOSAR was originally granted on May 13, 2010 and provides for vesting in four equal annual installments commencing on May 13, 2011. The two reported transactions involved an amendment of an outstanding SOSAR, resulting in the deemed cancellation of the "old" SOSAR and the grant of a replacement SOSAR. The SOSAR was originally granted on May 12, 2011 and provides for vesting in four equal annual installments commencing on May 12, 2012. By: Kerry L Mustoe for Robert DeBakker 2013-01-30