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Filing Details

Accession Number:: 0001140361-17-030103
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-08-03 18:05:02
Reporting Period:: 2017-08-02

Filing Date:: 2017-08-03
Accepted Time:: 2017-08-03 18:05:02
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1409375	Orion Energy Systems Inc.	OESX	Electric Lighting & Wiring Equipment (3640)	391847269

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1418607	H John Scribante	2210 Woodland Drive Manitowoc WI 54220		Yes	No	No	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2017-08-02	10,500	$1.07	10,000	No	4	S	Indirect	By TMS Trust
Common Stock	Disposition	2017-08-03	10,000	$1.05	0	No	4	S	Indirect	By TMS Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By TMS Trust
No	4	S	Indirect	By TMS Trust

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	40,000	Indirect	By IRA

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Options (right to buy)	$5.35	2018-08-08	21,452	21,452	Direct
Common Stock	Stock Options (right to buy)	$3.78	2019-05-19	11,759	11,759	Direct
Common Stock	Stock Options (right to buy)	$3.01	2019-09-01	200,000	200,000	Direct
Common Stock	Stock Options (right to buy)	$3.46	2020-05-18	16,731	16,731	Direct
Common Stock	Stock Options (right to buy)	$2.03	2022-06-12	80,000	80,000	Direct
Common Stock	Stock Options (right to buy)	$1.62	2022-11-12	100,000	100,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2018-08-08	21,452	21,452	Direct
2019-05-19	11,759	11,759	Direct
2019-09-01	200,000	200,000	Direct
2020-05-18	16,731	16,731	Direct
2022-06-12	80,000	80,000	Direct
2022-11-12	100,000	100,000	Direct

Footnotes

The price in Column 4 is a weighted average price. The prices actually received ranged from $1.05 to $1.12. 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 a weighted average price.
By the John H. Scribante and Tina M. Scribante TR UA 06/05/01 TMS Trust.
The price in Column 4 is a weighted average price. The prices actually received ranged from $1.01 to $1.075. 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 a weighted average price.
Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted August 8, 2008, became 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, became exercisable in 20% increments on May 19, 2010, 2011, 2012, 2013 and 2014, respectively.
Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted September 1, 2009, became 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.
Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 18, 2010, became exercisable in 20% increments on May 18, 2011, 2012, 2013, 2014 and 2015, respectively.
Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 12, 2012, became exercisable in four equal installments on June 12, 2013, 2014, 2015 and 2016, respectively.
Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted November 12, 2012, became exercisable in three equal installments on November 12, 2013, 2014 and 2015, respectively.