0001140361-17-008515.txt : 20170222 0001140361-17-008515.hdr.sgml : 20170222 20170222150139 ACCESSION NUMBER: 0001140361-17-008515 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170221 FILED AS OF DATE: 20170222 DATE AS OF CHANGE: 20170222 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ORION ENERGY SYSTEMS, INC. CENTRAL INDEX KEY: 0001409375 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 391847269 STATE OF INCORPORATION: WI FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 2210 WOODLAND DRIVE CITY: MANITOWOC STATE: WI ZIP: 54220 BUSINESS PHONE: 800-660-9340 MAIL ADDRESS: STREET 1: 2210 WOODLAND DRIVE CITY: MANITOWOC STATE: WI ZIP: 54220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scribante John H CENTRAL INDEX KEY: 0001418607 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33887 FILM NUMBER: 17628012 MAIL ADDRESS: STREET 1: ORION ENERGY SYSTEMS, INC. STREET 2: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 4 1 doc1.xml FORM 4 X0306 4 2017-02-21 0 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001418607 Scribante John H 2210 WOODLAND DRIVE MANITOWOC WI 54220 1 0 0 0 Common Stock 630981 D Common Stock 2017-02-21 4 P 0 20000 1.7603 A 40000 I By IRA Common Stock 84648 I By TMS Trust Stock Options (right to buy) 2.50 2016-06-02 Common Stock 40000 40000 D Stock Options (right to buy) 5.35 2018-08-08 Common Stock 21452 21452 D Stock Options (right to buy) 3.78 2019-05-19 Common Stock 11759 11759 D Stock Options (right to buy) 3.01 2019-09-01 Common Stock 250000 250000 D Stock Options (right to buy) 3.46 2020-05-18 Common Stock 16731 16731 D Stock Options (right to buy) 2.03 2022-06-12 Common Stock 100000 100000 D Stock Options (right to buy) 1.62 2022-11-12 Common Stock 100000 100000 D By the John H. Scribante and Tina M. Scribante TR UA 06/05/01 TMS Trust. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 2, 2006, became fully exercisable on March 31, 2011. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted August 8, 2008, became exercisable in 20% increments on August 8, 2009, 2010, 2011, 2012 and 2013, respectively. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 19, 2009, became exercisable in 20% increments on May 19, 2010, 2011, 2012, 2013 and 2014, respectively. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted September 1, 2009, will vest and become exercisable in 50,000 share increments when the average trading price of the Issuer's common stock equals or exceeds $4.00, $5.00, $6.00, $7.00 and $ 8.00 per share. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 18, 2010, became exercisable in 20% increments on May 18, 2011, 2012, 2013, 2014 and 2015, respectively. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 12, 2012, vests and becomes exercisable in 20% increments on June 12, 2013, 2014, 2015, 2016 and 2017, respectively. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted November 12, 2012, became exercisable in three equal installments on November 12, 2013, 2014 and 2015, respectively. /s/ Steven R. Barth, Attorney-in-Fact for John H. Scribante 2017-02-22