0001140361-18-028114.txt : 20180611 0001140361-18-028114.hdr.sgml : 20180611 20180611174822 ACCESSION NUMBER: 0001140361-18-028114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180607 FILED AS OF DATE: 20180611 DATE AS OF CHANGE: 20180611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Williamson Mark C CENTRAL INDEX KEY: 0001463800 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33887 FILM NUMBER: 18892994 MAIL ADDRESS: STREET 1: 123 EAST MAIN STREET, SUITE 202 CITY: MADISON STATE: WI ZIP: 53703 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 2018-06-07 0 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001463800 Williamson Mark C 123 E. MAIN ST., SUITE 202 MADISON WI 53703 1 0 0 0 Common Stock 2018-06-07 4 A 0 20250 0 A 104805 D Common Stock 2018-06-08 4 P 0 9000 0.8829 A 113805 D Stock Options (right to buy) 3.78 2010-05-19 2019-05-19 Common Stock 10583 10583 D Stock Options (right to buy) 3.46 2011-05-18 2020-05-18 Common Stock 19912 19912 D Stock Options (right to buy) 4.19 2012-05-23 2021-05-23 Common Stock 22045 22045 D Stock Options (right to buy) 2.03 2013-06-12 2022-06-12 Common Stock 26646 26646 D Stock Options (right to buy) 2.41 2013-12-31 2023-05-28 Common Stock 36568 36568 D Restricted stock granted to the reporting person under the Orion Energy Systems, Inc. 2016 Omnibus Incentive Plan. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of June 7, 2019, 2020 and 2021, 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 fully exercisable on May 19, 2012. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 18, 2010, vested and became exercisable in three equal installments on May 18, 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 23, 2011, vested and became exercisable in three equal installments on May 23, 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 June 12, 2012, vested and became exercisable in three equal installments on June 12, 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 May 28, 2013, vested and became exercisable in three equal installments on December 31, 2013, 2014 and 2015, respectively. /s/ Steven R. Barth, Attorney-in-Fact for Mark C. Williamson 2018-06-11