0000726514-17-000079.txt : 20171113 0000726514-17-000079.hdr.sgml : 20171110 20171113200456 ACCESSION NUMBER: 0000726514-17-000079 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171109 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 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: 171197956 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: 0328 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 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-11-09 0 0000726514 ELECTRO SCIENTIFIC INDUSTRIES INC ESIO 0001421764 Oldham Paul R 13900 NW SCIENCE PARK DR. PORTLAND OR 97229 0 1 0 0 CFO, Sr. VP of Finance Common Stock 2017-11-09 4 M 0 10000 15.78 A 237665.22 D Common Stock 2017-11-09 4 S 0 10000 23.4763 D 227665.22 D Common Stock 2017-11-09 4 M 0 20000 18.11 A 247665.22 D Common Stock 2017-11-09 4 S 0 20000 23.4907 D 227665.22 D Common Stock 2017-11-09 4 M 0 90000 7.26 A 317665.22 D Common Stock 2017-11-09 4 S 0 90000 23.4871 D 227665.22 D Incentive Stock Option (right to buy) 15.78 2017-11-09 4 M 0 10000 0.0 D 2009-05-15 2018-05-14 Common Stock 10000 5000 D Non-Qualified Stock Option (right to buy) 18.11 2017-11-09 4 M 0 20000 0.0 D 2009-01-07 2018-01-06 Common Stock 20000 60000 D Stock Appreciation Rights 7.26 2017-11-09 4 M 0 90000 0.0 D 2010-05-14 2019-05-13 Common Stock 90000 0 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Option originally granted on May 15, 2008 and provided for vesting in four equal annual installments commencing on May 15, 2009. Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009. The SOSAR was originally granted on May 14, 2009 and provided for vesting in four equal annual installments commencing on May 14, 2010. By: Aric McKinnis, Attorney-in-Fact For: Paul R. Oldham 2017-11-13