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