4//SEC Filing
ORION ENERGY SYSTEMS, INC. 4
Accession 0001140361-17-027802
$OESXCIK 0001409375operating
Filed
Jul 12, 8:00 PM ET
Accepted
Jul 13, 4:59 PM ET
Size
16.9 KB
Accession
0001140361-17-027802
Insider Transaction Report
Form 4
Scribante John H
Sr. VP of Business Development
Transactions
- Sale
Common Stock
2017-07-13$1.20/sh−1,500$1,800→ 149,168 total(indirect: By Trust) - Sale
Common Stock
2017-07-12$1.21/sh−1,000$1,205→ 150,668 total(indirect: By Trust)
Holdings
- 200,000
Stock Options (right to buy)
Exercise: $3.01Exp: 2019-09-01→ Common Stock (200,000 underlying) - 40,000(indirect: By IRA)
Common Stock
- 16,731
Stock Options (right to buy)
Exercise: $3.46Exp: 2020-05-18→ Common Stock (16,731 underlying) - 11,759
Stock Options (right to buy)
Exercise: $3.78Exp: 2019-05-19→ Common Stock (11,759 underlying) - 21,452
Stock Options (right to buy)
Exercise: $5.35Exp: 2018-08-08→ Common Stock (21,452 underlying) - 100,000
Stock Options (right to buy)
Exercise: $1.62Exp: 2022-11-12→ Common Stock (100,000 underlying) - 80,000
Stock Options (right to buy)
Exercise: $2.03Exp: 2022-06-12→ Common Stock (80,000 underlying)
Footnotes (9)
- [F1]The price in Column 4 is a weighted average price. The prices actually received ranged from $1.20 to $1.21. 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.
- [F2]By the John H. Scribante and Tina M. Scribante TR UA 06/05/01 TMS Trust.
- [F3]The price in Column 4 is a weighted average price. The prices actually received ranged from $1.20 to $1.205. 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.
- [F4]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.
- [F5]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.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]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.
Documents
Issuer
ORION ENERGY SYSTEMS, INC.
CIK 0001409375
Entity typeoperating
IncorporatedWI
Related Parties
1- filerCIK 0001409375
Filing Metadata
- Form type
- 4
- Filed
- Jul 12, 8:00 PM ET
- Accepted
- Jul 13, 4:59 PM ET
- Size
- 16.9 KB