0001140361-17-029433.txt : 20170731
0001140361-17-029433.hdr.sgml : 20170731
20170731173913
ACCESSION NUMBER: 0001140361-17-029433
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170727
FILED AS OF DATE: 20170731
DATE AS OF CHANGE: 20170731
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: 17994017
MAIL ADDRESS:
STREET 1: ORION ENERGY SYSTEMS, INC.
STREET 2: 1204 PILGRIM ROAD
CITY: PLYMOUTH
STATE: WI
ZIP: 53073
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
4
1
doc1.xml
FORM 4
X0306
4
2017-07-27
1
0001409375
ORION ENERGY SYSTEMS, INC.
OESX
0001418607
Scribante John H
2210 WOODLAND DRIVE
MANITOWOC
WI
54220
1
0
0
1
Retired
Common Stock
2017-07-27
4
S
0
6346
1.0325
D
76278
I
By TMS Trust
Common Stock
2017-07-28
4
S
0
6278
1.0449
D
70000
I
By TMS Trust
Common Stock
40000
I
By IRA
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
200000
200000
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
80000
80000
D
Stock Options (right to buy)
1.62
2022-11-12
Common Stock
100000
100000
D
The price in Column 4 is a weighted average price. The prices actually received ranged from $1.03 to $1.05. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
By the John H. Scribante and Tina M. Scribante TR UA 06/05/01 TMS Trust.
The price in Column 4 is a weighted average price. The prices actually received ranged from $1.04 to $1.05. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
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, became 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, became exercisable in four equal installments on June 12, 2013, 2014, 2015 and 2016, 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
2017-07-31