0001140361-17-030103.txt : 20170803 0001140361-17-030103.hdr.sgml : 20170803 20170803180502 ACCESSION NUMBER: 0001140361-17-030103 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170802 FILED AS OF DATE: 20170803 DATE AS OF CHANGE: 20170803 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: 171006340 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 2017-08-02 1 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001418607 Scribante John H 2210 WOODLAND DRIVE MANITOWOC WI 54220 1 0 0 1 Retired Common Stock 2017-08-02 4 S 0 10500 1.0691 D 10000 I By TMS Trust Common Stock 2017-08-03 4 S 0 10000 1.0522 D 0 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 $1.05 to $1.12. 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 $1.01 to $1.075. 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 2017-08-03