Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-21-021205
Date:2021-11-24
Issuer: ORION ENERGY SYSTEMS, INC. (OESX)
Original Submission Date:

Reporting Person:

ALTSCHAEFL MICHAEL W
2210 WOODLAND DRIVE
MANITOWOC, WI 54220

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-11-24 P 10,000 a $3.63 830,093 direct
COMMON STOCK 2021-11-26 P 5,000 a $3.56 835,093 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTIONS (RIGHT TO BUY) 2.03 deemed execution date 0 ( ) 2013-06-12 2022-06-12 common stock 26,646 $2.03 26,646 direct
STOCK OPTIONS (RIGHT TO BUY) 2.41 deemed execution date 0 ( ) 2013-12-31 2023-05-28 common stock 36,568 $2.41 36,568 direct
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted average price. the prices actually received ranged from $3.60 to $3.63. 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 a weighted average price.
f2 the price reported in column 4 is a weighted average price. the prices actually received ranged from $3.56 to $3.57. 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 a weighted average price.
f3 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.
f4 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.
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