-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KQAvgMziouT5T4pO8F/rt0rLFbgQRbMQOkeCWBDzEwZVUQcG9XsmqRZEluTVyJW9 u/wiA2mF5s7R0XmYvogRxw== 0001225208-09-013222.txt : 20090528 0001225208-09-013222.hdr.sgml : 20090528 20090528145306 ACCESSION NUMBER: 0001225208-09-013222 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090526 FILED AS OF DATE: 20090528 DATE AS OF CHANGE: 20090528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scribante John H CENTRAL INDEX KEY: 0001418607 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33887 FILM NUMBER: 09857223 MAIL ADDRESS: STREET 1: ORION ENERGY SYSTEMS, INC. STREET 2: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 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: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 BUSINESS PHONE: 800-660-9340 MAIL ADDRESS: STREET 1: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 4 1 doc4.xml X0303 4 2009-05-26 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001418607 Scribante John H 1204 PILGRIM ROAD PLYMOUTH WI 53073 1 Sr. VP of Business Development Common Stock 2009-05-26 4 M 0 33000 2.25 A 33000 D Common Stock 2009-05-26 4 S 0 33000 3.6258 D 0 D Common Stock 2009-05-27 4 M 0 16650 2.5 A 16650 D Common Stock 2009-05-27 4 M 0 14850 2.25 A 31500 D Common Stock 2009-05-27 4 S 0 31500 3.6172 D 0 D Common Stock 2009-05-28 4 M 0 3350 2.5 A 3350 D Common Stock 2009-05-28 4 S 0 3350 3.5173 D 0 D Common Stock 2009-05-26 4 S 0 6000 3.6116 D 27815 I By Garden Villa on 3d LLC Common Stock 2009-05-27 4 S 0 4000 3.5635 D 23815 I By Garden Villa on 3d LLC Stock Options (right to buy) 2.25 2009-05-26 4 M 0 33000 0 D 2014-07-31 Common Stock 33000 39850 D Stock Options (right to buy) 2.25 2009-05-27 4 M 0 14850 0 D 2014-07-31 Common Stock 14850 25000 D Stock Options (right to buy) 2.5 2009-05-27 4 M 0 16650 0 D 2016-06-02 Common Stock 16650 43350 D Stock Options (right to buy) 2.5 2009-05-28 4 M 0 3350 0 D 2016-06-02 Common Stock 3350 40000 D Stock Options (right to buy) 5.35 2018-08-08 Common Stock 21452 21452 D Stock Options (right to buy) 3.78 2019-05-19 Common Stock 11759 11759 D The price in Column 4 is a weighted average price. the prices actually received ranged from $3.55 to $3.70. 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 an average weighted price. The price in Column 4 is a weighted average price. the prices actually received ranged from $3.60 to $3.66. 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 an average weighted price. The price in Column 4 is a weighted average price. the prices actually received ranged from $3.50 to $3.60. 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 an average weighted price. The price in Column 4 is a weighted average price. the prices actually received ranged from $3.52 to $3.69. 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 an average weighted price. The price in Column 4 is a weighted average price. the prices actually received ranged from $3.50 to $3.65. 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 an average weighted price. Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted July 31, 2004, vests and becomes exercisable as follows: 10% on August 1, 2004, 30% on March 31, 2006, 50% on March 31, 2007, 70% on March 31, 2008, 90% on March 31, 2009, and 100% on March 31, 2010. Grant to reporting person of option to buy shares under the 2004 Equity Incentive Plan. This option, granted June 2, 2006, vests and becomes exercisable in 20% increments on March 31, 2007, 2008, 2009, 2010 and 2011, respectively. 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. 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. Peter C. Underwood, Attorney-in-Fact 2009-05-28 -----END PRIVACY-ENHANCED MESSAGE-----