0000726514-13-000007.txt : 20130201 0000726514-13-000007.hdr.sgml : 20130201 20130201103031 ACCESSION NUMBER: 0000726514-13-000007 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: Oldham Paul R CENTRAL INDEX KEY: 0001421764 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 13565080 MAIL ADDRESS: STREET 1: 13900 NW SCIENCE PARK DR CITY: PORTLAND STATE: OR ZIP: 97229-5497 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 0001421764 Oldham Paul R 13900 NW SCIENCE PARK DR PORTLAND OR 97229-5497 0 1 0 0 VP Admin, CFO & Corp Sec Emp Stock Option (right to buy) 18.91 2013-01-30 4 D 0 80000 D 2018-01-06 Common Stock 80000 140000 D Emp Stock Option (right to buy) 18.11 2013-01-30 4 A 0 80000 A 2018-01-06 Common Stock 80000 220000 D Emp Stock Option (right to buy) 16.58 2013-01-30 4 D 0 15000 D 2018-05-14 Common Stock 15000 205000 D Emp Stock Option (right to buy) 15.78 2013-01-30 4 A 0 15000 A 2018-05-14 Common Stock 15000 220000 D Stock Apprec Rights 8.26 2013-01-30 4 D 0 90000 D 2019-05-13 Common Stock 90000 130000 D Stock Apprec Rights 7.26 2013-01-30 4 A 0 90000 A 2019-05-13 Common Stock 90000 220000 D Stock Apprec Rights 14.64 2013-01-30 4 D 0 17000 D 2020-05-12 Common Stock 17000 203000 D Stock Apprec Rights 13.84 2013-01-30 4 A 0 17000 A 2020-05-12 Common Stock 17000 220000 D Stock Apprec Rights 18.82 2013-01-30 4 D 0 18000 D 2021-05-11 Common Stock 18000 202000 D Stock Apprec Rights 18.02 2013-01-30 4 A 0 18000 A 2021-05-11 Common Stock 18000 220000 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 January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009. 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 Paul Oldham 2013-01-30