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