0001567619-19-013126.txt : 20190610 0001567619-19-013126.hdr.sgml : 20190610 20190610125039 ACCESSION NUMBER: 0001567619-19-013126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190607 FILED AS OF DATE: 20190610 DATE AS OF CHANGE: 20190610 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Altschaefl Michael W CENTRAL INDEX KEY: 0001476048 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33887 FILM NUMBER: 19888180 MAIL ADDRESS: STREET 1: ALBANY-CHICAGO COMPANY LLC STREET 2: 8200 100TH STREET CITY: PLEASANT PRAIRIE STATE: WI ZIP: 53158 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 2019-06-07 0 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001476048 Altschaefl Michael W 2210 WOODLAND DRIVE MANITOWOC WI 54220 1 1 0 0 Chief Executive Officer Common Stock 2019-06-07 4 P 0 10000 2.8659 A 566076 D Stock Options (right to buy) 3.81 2010-10-30 2019-10-30 Common Stock 5291 5291 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 The price in Column 4 is a weighted average price. The prices actually received ranged from $2.84 to $2.89. 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 purchased at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted October 30, 2009, vested and became exercisable in three equal installments on October 30, 2010, 2011 and 2012, respectively. 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 Michael W. Altschaefl 2019-06-10