Oregon
|
93-0370304
|
|
(State or Other Jurisdiction
of Incorporation)
|
(I.R.S. Employer
Identification No.)
|
Large accelerated filer
|
☐
|
Accelerated filer
|
☒
|
||
Non-accelerated filer
|
☐
|
Smaller reporting company
|
☐
|
||
Emerging growth company
|
☐
|
||||
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any
new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act.
|
☐
|
|
● |
Registration Statement No. 002-91731, filed with the SEC on June 19, 1984, pertaining to the registration of 444,391 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1974 Stock Option Plan and 181,685 shares of the Registrant’s common stock issuable pursuant to the Registrant’s 1983 Stock Option Plan.
|
● |
Registration Statement No. 033-2623, filed with the SEC on January 9, 1986, pertaining to the registration of 250,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1974 Stock Option Plan and the Registrant’s 1983 Stock Option Plan.
|
●
|
Registration Statement No. 033-2624, filed with the SEC on January 9, 1986, pertaining to the registration of 150,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1985 Employee Stock Purchase Plan.
|
●
|
Registration Statement No. 033-34098, filed with the SEC on April 2, 1990, as amended by Post-Effective Amendment No. 1, filed with the SEC on April
20, 1990, pertaining to the registration of 500,000 shares of the Registrant’s common stock issuable pursuant to the Registrant’s 1974 Stock Option Plan, the Registrant’s 1983 Stock Option Plan and the Registrant’s 1989 Stock Option Plan.
|
●
|
Registration Statement No. 033-37148, filed with the SEC on October 4, 1990, pertaining to the registration of 150,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1990 Employee Stock Purchase Plan.
|
●
|
Registration Statement No. 033-46970, filed with the SEC on April 3, 1992, pertaining to the registration of 25,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s Stock Option Agreement with W. Arthur Porter and 25,000 shares of the Registrant’s common stock issuable pursuant to the Registrant’s Stock Grant Agreement with David F. Bolender.
|
●
|
Registration Statement No. 033-70584, filed with the SEC on October 20, 1993, pertaining to the registration of 500,000 shares of the Registrant’s common
stock issuable pursuant to the Registrant’s 1989 Stock Option Plan and 10,000 shares of the Registrant’s common stock issuable pursuant to the Registrant’s Stock Option Agreement with W. Arthur Porter.
|
●
|
Registration Statement No. 033-63705, filed with the SEC on October 26, 1995, pertaining to the registration of 300,000 shares of the Registrant’s common
stock issuable pursuant to the Registrant’s 1989 Stock Option Plan.
|
●
|
Registration Statement No. 333-16485, filed with the SEC on November 20, 1996, pertaining to the registration of 400,000 shares of the Registrant’s common
stock issuable pursuant to the Registrant’s 1989 Stock Option Plan.
|
●
|
Registration Statement No. 333-16487, filed with the SEC on November 20, 1996, pertaining to the registration of 150,000 shares of the Registrant’s common
stock issuable pursuant to the Registrant’s 1990 Employee Stock Purchase Plan.
|
●
|
Registration Statement No. 333-29513, filed with the SEC on June 19, 1997, pertaining to the registration of 86,346 shares of the Registrant’s common
stock issuable pursuant the Dynamotion, Inc. 1991 Stock Option Plan, Dynamotion, Inc. 1993 Stock Option Plan, Dynamotion, Inc. 1995 Comprehensive Stock Option Plan, Dynamotion, Inc. 1995 Executive Stock Option Plan, and Stock Option
Agreements between Dynamotion, Inc. and certain former and current employees, officers, directors, and consultants of Dynamotion, Inc.
|
●
|
Registration Statement No. 333-35917, filed with the SEC on September 18, 1997, pertaining to the registration of 108,165 shares of the Registrant’s
common stock issuable pursuant to the Chip Star Inc. Incentive Stock Option Plan.
|
●
|
Registration Statement No. 333-46443, filed with the SEC on February 17, 1998, pertaining to the registration of 274,603 shares of the Registrant’s common
stock issuable pursuant to the Applied Intelligent Systems, Inc. 1989 Incentive Stock Option Plan, Applied Intelligent Systems, Inc. 1991 Incentive Stock Option Plan, Applied Intelligent Systems, Inc. 1992 Incentive Stock Option Plan,
Applied Intelligent Systems, Inc. 1995 Incentive Stock Option Plan, and non-qualified stock option agreements between Applied Intelligent Systems, Inc. and Barry Borgerson (dated May 4, 1993) and Jon G. Ehrmann (dated July 30, 1990).
|
●
|
Registration Statement No. 333-88411, filed with the SEC on October 4, 1999, pertaining to the registration of 150,000 shares of the Registrant’s common
stock issuable pursuant to the Registrant’s 1990 Employee Stock Purchase Plan and 500,000 shares of the Registrant’s common stock issuable pursuant to the Registrant’s 1989 Stock Option Plan.
|
●
|
Registration Statement No. 333-55060, filed with the SEC on February 6, 2001, pertaining to the registration of 2,000,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 2000 Stock Option Incentive Plan and 1,000,000 shares of the Registrant’s common stock issuable pursuant to the Registrant’s 2000 Stock Option Plan.
|
●
|
Registration Statement No. 333-67356, filed with the SEC on August 13, 2001, pertaining to the registration of 1,250,000 shares of the Registrant’s common
stock issuable pursuant to the Registrant’s 2000 Stock Option Plan.
|
●
|
Registration Statement No. 333-122660, filed with the SEC on February 9, 2005, pertaining to the registration of 3,000,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 2004 Stock Incentive Plan.
|
●
|
Registration Statement No. 333-122661, filed with the SEC on February 9, 2005, pertaining to the registration of 1,000,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1990 Employee Stock Purchase Plan.
|
●
|
Registration Statement No. 333-122662, filed with the SEC on February 9, 2005, pertaining to the registration of 75,000 shares of the Registrant’s common
stock issuable pursuant to certain of the Registrant’s Employee Stock Option Agreements with each of John A. Corr and Robert DeBakker.
|
●
|
Registration Statement No. 333-137878, filed with the SEC on October 6, 2006, pertaining to the registration of $1,000,000 in deferred compensation
obligations of the Registrant pursuant to the Registrant’s Deferred Compensation Plan.
|
●
|
Registration Statement No. 333-137879, filed with the SEC on October 6, 2006, pertaining to the registration of 100,000 shares of the Registrant’s common
stock issuable pursuant to Registrant’s Employee Stock Option Agreement with John Metcalf.
|
●
|
Registration Statement No. 333-146107, filed with the SEC on September 17, 2007, pertaining to the registration of 158,000 shares of the Registrant’s
common stock issuable pursuant to Registrant’s Employee Stock Option Agreements with each of Thomas Baer, John Carruthers, Yu-Chong Tai, Steve Vogt, Ming Wu and R.A. Srinivas and Registrant’s Restricted Stock Unit Agreements with each of
Pei Hsien Fang, Rick Wong, Loo Kia Sim and Jun Zhu.
|
●
|
Registration Statement No. 333-151804, filed with the SEC on June 20, 2008, pertaining to the registration of 80,000 shares of the Registrant’s common
stock issuable pursuant to Registrant’s Employee Stock Option Agreement with an executive officer.
|
●
|
Registration Statement No. 333-155978, filed with the SEC on December 8, 2008, pertaining to the registration of 3,630,388 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 2004 Stock Incentive Plan.
|
●
|
Registration Statement No. 333-162876, filed with the SEC on November 4, 2009, pertaining to the registration of 1,500,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1990 Employee Stock Purchase Plan.
|
●
|
Registration Statement No. 333-199166, filed with the SEC on October 3, 2014, pertaining to the registration of 1,000,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1990 Employee Stock Purchase Plan.
|
●
|
Registration Statement No. 333-213856, filed with the SEC on September 29, 2016, pertaining to the registration of 76,575 shares of the Registrant’s
common stock issuable pursuant to Registrant’s Restricted Stock Unit Agreement with Michael Burger.
|
●
|
Registration Statement No. 333-213857, filed with the SEC on September 29, 2016, pertaining to the registration of 2,750,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 2004 Stock Incentive Plan.
|
●
|
Registration Statement No. 333-220045, filed with the SEC on August 18, 2017, pertaining to the registration of 1,000,000 shares of the Registrant’s
common stock issuable pursuant to the Registrant’s 1990 Employee Stock Purchase Plan.
|
ELECTRO SCIENTIFIC INDUSTRIES, INC.
|
||
By:
|
/s/ Seth H. Bagshaw
|
|
Name: Seth H. Bagshaw
|
||
Title: President and Treasurer
|