0001140361-14-022260.txt : 20140519
0001140361-14-022260.hdr.sgml : 20140519
20140519191122
ACCESSION NUMBER: 0001140361-14-022260
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140515
FILED AS OF DATE: 20140519
DATE AS OF CHANGE: 20140519
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: 14856011
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: 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: 14856012
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: D3 Family Fund, LP
CENTRAL INDEX KEY: 0001282685
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-12853
FILM NUMBER: 14856013
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 FUND LP
DATE OF NAME CHANGE: 20040304
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: 14856014
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
4
1
doc1.xml
FORM 4
X0306
4
2014-05-15
0
0000726514
ELECTRO SCIENTIFIC INDUSTRIES INC
ESIO
0001282683
Nierenberg Investment Management Company, Inc.
19605 NE 8TH STREET
CAMAS
WA
98607
1
0
1
0
0001282685
D3 Family Fund, LP
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
0001040899
Nierenberg David
19605 NE 8TH STREET
CAMAS
WA
98607
0
0
1
0
Common Stock
2014-05-15
4
A
0
2031
0
A
559683
I
By The D3 Family Fund, LP
Common Stock
2014-05-15
4
A
0
5269
0
A
2048494
I
By The D3 Family Bulldog Fund, LP
Common Stock
181964
I
By The D3 Family Canadian Fund, LP
Common Stock
402375
I
By the DIII Offshore 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.
Mr. Nierenberg has been granted 7,300 restricted stock units which are immediately vested in connection with his service on the Board of Directors of the Issuer on May 15, 2014.
David Nierenberg
2014-05-19
David Nierenberg, President, Nierenberg Investment Management Company, Inc. (NIMCO)
2014-05-19
David Nierenberg, President, NIMCO, General Partner of The D3 Family Bulldog Fund, LP
2014-05-19