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ORION ENERGY SYSTEMS, INC. — Director's Dealing 2012
Jun 20, 2012
34783_dirs_2012-06-20_9ac27b93-fda3-4e67-953a-9b93e8c103e1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ORION ENERGY SYSTEMS, INC. (OESX)
CIK: 0001409375
Period of Report: 2012-06-18
Reporting Person: Scribante John H (President-Engineered Systems)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-18 | Common Stock | A | 25000 | — | Acquired | 25000 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 15000 | Indirect |
| Common Stock | 23815 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options (right to buy) | $2.25 | 2014-07-31 | Common Stock (25000) | 25000 | Direct |
| Stock Options (right to buy) | $2.50 | 2016-06-02 | Common Stock (40000) | 40000 | Direct |
| Stock Options (right to buy) | $5.35 | 2018-08-08 | Common Stock (21452) | 21452 | Direct |
| Stock Options (right to buy) | $3.78 | 2019-05-19 | Common Stock (11759) | 11759 | Direct |
| Stock Options (right to buy) | $3.01 | 2019-09-01 | Common Stock (250000) | 250000 | Direct |
| Stock Options (right to buy) | $3.46 | 2020-05-18 | Common Stock (16731) | 16731 | Direct |
| Stock Options (right to buy) | $2.03 | 2022-06-12 | Common Stock (100000) | 100000 | Direct |
Footnotes
F1: Restricted stock granted to the reporting person under the 2004 Stock and Incentive Awards Plan. The restricted stock vests and becomes exercisable in 20% increments on June 18, 2013, 2014, 2015, 2016 and 2017, respectively.
F2: By the John H. Scribante and Tina M. Scribante TR UA 06/05/01 TMS Trust.
F3: Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted July 31, 2004, became fully exercisable on March 31, 2010.
F4: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 2, 2006, became fully exercisable on March 31, 2011.
F5: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted August 8, 2008, vests and becomes exercisable in 20% increments on August 8, 2009, 2010, 2011, 2012 and 2013, respectively.
F6: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 19, 2009, vests and becomes exercisable in 20% increments on May 19, 2010, 2011, 2012, 2013 and 2014, respectively.
F7: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted September 1, 2009, will vest and become 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.
F8: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 18, 2010, vests and becomes exercisable in 20% increments on May 18, 2011, 2012, 2013, 2014 and 2015, respectively.
F9: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 12, 2012, vests and becomes exercisable in 20% increments on June 12, 2013, 2014, 2015, 2016 and 2017, respectively.