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ORION ENERGY SYSTEMS, INC. — Director's Dealing 2016
Aug 9, 2016
34783_dirs_2016-08-09_701a43d4-eb28-4d57-a2b8-5b6a813da502.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: 2016-08-05
Reporting Person: Leslie James D (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-08-05 | Common Stock | A | 31690 | — | Acquired | 123311 | Direct |
| 2016-08-05 | Common Stock | A | 7042 | — | Acquired | 130353 | Direct |
| 2016-08-05 | Common Stock | P | 21127 | $1.42 | Acquired | 151480 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options (right to buy) | $2.41 | 2023-05-28 | Common Stock (36568) | 36568 | Direct |
Footnotes
F1: Restricted stock granted to the reporting person under the 2016 Omnibus Incentive Plan. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of August 5, 2017, 2018 and 2019, respectively.
F2: Shares granted in lieu of cash for annual retainer fees pursuant to Issuer's 2016 Omnibus Incentive Plan.
F3: 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.