0001140361-12-010470.txt : 20120223
0001140361-12-010470.hdr.sgml : 20120223
20120223190303
ACCESSION NUMBER: 0001140361-12-010470
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120221
FILED AS OF DATE: 20120223
DATE AS OF CHANGE: 20120223
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: 12635345
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: 12635346
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
STATE OF INCORPORATION: C5
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-12853
FILM NUMBER: 12635342
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
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-12853
FILM NUMBER: 12635344
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: 12635341
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: 12635343
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
X0304
4
2012-02-21
0
0000726514
ELECTRO SCIENTIFIC INDUSTRIES INC
ESIO
0001282683
Nierenberg Investment Management Company, Inc.
19605 NE 8TH STREET
CAMAS
WA
98607
1
0
1
0
0001040899
Nierenberg David
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
0001365764
Nierenberg Investment Management Offshore Inc.
19605 NE 8TH STREET
CAMAS
WA
98607
0
0
1
0
Common Stock
2012-02-21
4
S
0
7770
15.1
D
2302066
I
By The D3 Family Bulldog Fund, LP
Common Stock
2012-02-21
4
S
0
650
15.1
D
191478
I
By The D3 Family Canadian Fund, LP
Common Stock
2012-02-21
4
S
0
1427
15.1
D
423715
I
By the DIII Offshore Fund, LP
Common Stock
2012-02-22
4
S
0
26130
15.0
D
2275936
I
By The D3 Family Bulldog Fund, LP
Common Stock
2012-02-22
4
S
0
2170
15.0
D
189308
I
By The D3 Family Canadian Fund, LP
Common Stock
2012-02-22
4
S
0
4806
15.0
D
418909
I
By the DIII Offshore Fund, LP
Common Stock
2012-02-23
4
S
0
8595
15.0
D
2267341
I
By The D3 Family Bulldog Fund, LP
Common Stock
2012-02-23
4
S
0
715
15.0
D
188593
I
By The D3 Family Canadian Fund, LP
Common Stock
2012-02-23
4
S
0
1581
15.0
D
417328
I
By the DIII Offshore Fund, LP
Common Stock
573129
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.
David Nierenberg
2012-02-23
David Nierenberg, President, Nierenberg Investment Management Company, Inc. (NIMCO)
2012-02-23
David Nierenberg, President, NIMCO, General Partner of The D3 Family Canadian Fund, LP
2012-02-23
David Nierenberg, President, NIMCO, General Partner of The D3 Family Bulldog Fund, LP
2012-02-23
David Nierenberg, President, NIMO, General Partner of The DIII Offshore Fund, LP
2012-02-23
David Nierenberg, President, Nierenberg Investment Management Offshore, Inc. (NIMO
2012-02-23