-----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, CqpB10vg8+yeL+Ueoxr3lY6/QnC86X/bKmFWWMdwGUk5o8mYCeOG+HLfCgv/W8zt LOCD7N4EP8JrnSxQ4wQsDw== 0001140361-10-044020.txt : 20101105 0001140361-10-044020.hdr.sgml : 20101105 20101105171454 ACCESSION NUMBER: 0001140361-10-044020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101105 FILED AS OF DATE: 20101105 DATE AS OF CHANGE: 20101105 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nierenberg David CENTRAL INDEX KEY: 0001040899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 101169653 MAIL ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: NIERENBERG DAVID DATE OF NAME CHANGE: 19970611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nierenberg Investment Management Company, Inc. CENTRAL INDEX KEY: 0001282683 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 101169658 BUSINESS ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 BUSINESS PHONE: 360-604-8600 MAIL ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: NIERENBERG INVESTMENT MANAGEMENT CO DATE OF NAME CHANGE: 20040304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DIII Offshore Fund, LP CENTRAL INDEX KEY: 0001282684 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 101169654 BUSINESS ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 BUSINESS PHONE: 360-604-8600 MAIL ADDRESS: STREET 1: 19605 NE 8TH ST CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: DIII OFFSHORE FUND LP DATE OF NAME CHANGE: 20070108 FORMER NAME: FORMER CONFORMED NAME: D3 OFFSHORE FUND LP DATE OF NAME CHANGE: 20040304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D3 Family Bulldog Fund, LP CENTRAL INDEX KEY: 0001365745 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 101169656 BUSINESS ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 BUSINESS PHONE: 360-604-8600 MAIL ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: D3 Family Bulldog Fund LP DATE OF NAME CHANGE: 20060612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nierenberg Investment Management Offshore Inc. CENTRAL INDEX KEY: 0001365764 STATE OF INCORPORATION: C5 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 101169657 BUSINESS ADDRESS: STREET 1: TRADEWINDS BUILDING, 4TH FLOOR STREET 2: BAY STREET CITY: NASSAU STATE: C5 ZIP: 00000 BUSINESS PHONE: 360-604-8600 MAIL ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: Nierenberg Investment Management Offshore Inc DATE OF NAME CHANGE: 20060612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D3 Family Canadian Fund, LP CENTRAL INDEX KEY: 0001405824 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12853 FILM NUMBER: 101169655 BUSINESS ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 BUSINESS PHONE: 360-604-8600 MAIL ADDRESS: STREET 1: 19605 NE 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 FORMER NAME: FORMER CONFORMED NAME: D3 Family Canadian Fund, L.P. DATE OF NAME CHANGE: 20070706 4 1 doc1.xml FORM 4 X0303 4 2010-11-05 0 0000726514 ELECTRO SCIENTIFIC INDUSTRIES INC ESIO 0001282683 Nierenberg Investment Management Company, Inc. 19605 NE 8TH STREET CAMAS WA 98607 1 0 1 0 0001365764 Nierenberg Investment Management Offshore Inc. 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001365745 D3 Family Bulldog Fund, LP 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001405824 D3 Family Canadian Fund, LP 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001282684 DIII Offshore Fund, LP 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 0001040899 Nierenberg David 19605 NE 8TH STREET CAMAS WA 98607 0 0 1 0 Common Stock 2010-11-05 4 J 0 80150 13.02 A 2505946 I By The D3 Family Bulldog Fund, LP Common Stock 2010-11-05 4 J 0 79850 13.02 A 313565 I By The D3 Family Canadian Fund, LP Common Stock 2010-11-05 4 J 0 160000 13.02 D 432734 I By The DIII Offshore Fund, LP Common Stock 572239 I By The D3 Family Fund, LP Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein. Shares of the issuer owned by The DIII Offshore Fund, LP were transferred at market value to its affiliated funds, as described in Table I. No purchase or sale was made in the open market David Nierenberg, President, Nierenberg Investment Management Company, Inc. (NIMCO) 2010-11-05 David Nierenberg, President, NIMCO, General Partner of The D3 Family Bulldog Fund, LP 2010-11-05 David Nierenberg 2010-11-05 David Nierenberg, President, Nierenberg Investment Management Offshore, Inc. (NIMO) 2010-11-05 David Nierenberg, President, NIMO, General Partner of The DIII Offshore Fund, LP 2010-11-05 David Nierenberg, President, NIMCO, General Partner of The D3 Family Canadian Fund, LP 2010-11-05 -----END PRIVACY-ENHANCED MESSAGE-----