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ORION ENERGY SYSTEMS, INC. — Director's Dealing 2017
Jun 23, 2017
34783_dirs_2017-06-23_e2b0146f-4d61-4917-864b-15b683d28b3f.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: 2017-06-21
Reporting Person: Altschaefl Michael W (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-06-21 | Common Stock | P | 7500 | $1.3114 | Acquired | 339829 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options (right to buy) | $3.81 | 2019-10-30 | Common Stock (5291) | 5291 | Direct |
| Stock Options (right to buy) | $3.46 | 2020-05-18 | Common Stock (19912) | 19912 | Direct |
| Stock Options (right to buy) | $4.19 | 2021-05-23 | Common Stock (22045) | 22045 | Direct |
| Stock Options (right to buy) | $2.03 | 2022-06-12 | Common Stock (26646) | 26646 | Direct |
| Stock Options (right to buy) | $2.41 | 2023-05-28 | Common Stock (36568) | 36568 | Direct |
Footnotes
F1: The price in Column 4 is a weighted average price. The prices actually paid ranged from $1.2899 to $1.3167. 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.
F2: 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.
F3: 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.
F4: 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.
F5: 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.
F6: 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.