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