SEC Form 4 · accession 0001140361-18-028101
ORION ENERGY SYSTEMS, INC. · OESX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William T Hull
Officer — Chief Financial Officer
Period of report
Jun 7, 2018
Accepted (ET)
Jun 11, 2018 · 5:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409375
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 7, 2018 | A | 113,400 | $0.00 | A | 838,400 | D | |
| Common StockF2 | Jun 8, 2018 | P | 22,322 | $0.8576 | A | 860,722 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock granted to the reporting person under the Orion Energy Systems, Inc. 2016 Omnibus Incentive Plan. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of June 7, 2019, 2020 and 2021, respectively.
- F2The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.85 to $0.86. 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.