-----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, M5tbHDp6Mj8EIskH+gJCnk7eStMiYAPpt9Rr9bI4o5pT4oTI2Knfcpk0ReIkIVGm sm1W3z7cEfTZ+YxL9CnziA== 0000897069-08-001432.txt : 20080918 0000897069-08-001432.hdr.sgml : 20080918 20080918142122 ACCESSION NUMBER: 0000897069-08-001432 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080916 FILED AS OF DATE: 20080918 DATE AS OF CHANGE: 20080918 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: 081078207 BUSINESS ADDRESS: BUSINESS PHONE: (920) 892-9340 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 cmw3736_ex.xml X0303 4 2008-09-16 0 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001418607 Scribante John H ORION ENERGY SYSTEMS, INC. 1204 PILGRIM ROAD PLYMOUTH WI 53073 0 1 0 0 Sr. VP of Business Development Common Stock 2008-09-16 4 M 0 50000 2.25 A 0 D Common Stock 2008-09-16 4 M 0 40000 2.5 A 0 D Common Stock 2008-09-16 4 M 0 8000 2.25 A 0 D Common Stock 2008-09-16 4 S 0 274525 5.54 D 0 I By TMS Trust Common Stock 43815 I By Garden Villa on 3d LLC Stock Option (right to buy) 2.25 2008-09-16 4 M 0 8000 0 D 2014-03-24 Common Stock 8000 8000 D Stock Option (right to buy) 2.25 2008-09-16 4 M 0 50000 0 D 2014-07-31 Common Stock 50000 75000 D Stock Option (right to buy) 2.5 2008-09-16 4 M 0 40000 0 D 2016-06-02 Common Stock 40000 60000 D Stock Options (right to buy) 5.35 2018-08-08 Common Stock 21452 21452 D The shares received from the exercise of stock options by the reporting person were transferred to the TMS Trust in a transaction exempt from Section 16 reporting pursuant to Rule 16a-13. The sale price for each share of common stock was the closing price per share on September 15, 2008, pursuant to a pre-prescribed sale agreement entered into by the reporting person on August 19, 2008. Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted March 24, 2004, vests and becomes exercisable in 20% increments on March 31, 2005, 2006, 2007, 2008 and 2009, respectively. 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. /s/ Steven R. Barth, Attorney-in-Fact 2008-09-18 -----END PRIVACY-ENHANCED MESSAGE-----