Filing Details

Accession Number:
0001140361-14-022230
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-05-19 17:43:05
Reporting Period:
2014-05-15
Filing Date:
2014-05-19
Accepted Time:
2014-05-19 17:43:05
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
1463800 C Mark Williamson 123 E. Main St., Suite 202
Madison WI 53703
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-05-15 10,715 $0.00 30,715 No 4 A Direct
Common Stock Acquisiton 2014-05-16 5,000 $4.22 35,715 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Options (right to buy) $3.78 2010-05-19 2019-05-19 10,583 10,583 Direct
Common Stock Stock Options (right to buy) $3.46 2011-05-18 2020-05-18 19,912 19,912 Direct
Common Stock Stock Options (right to buy) $4.19 2012-05-23 2021-05-23 22,045 22,045 Direct
Common Stock Stock Options (right to buy) $2.03 2013-06-12 2022-06-12 26,646 26,646 Direct
Common Stock Stock Options (right to buy) $2.41 2013-12-31 2023-05-28 36,568 36,568 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2019-05-19 10,583 10,583 Direct
2020-05-18 19,912 19,912 Direct
2021-05-23 22,045 22,045 Direct
2022-06-12 26,646 26,646 Direct
2023-05-28 36,568 36,568 Direct
Footnotes
  1. Restricted stock granted to the reporting person under the 2004 Stock and Incentive Awards Plan. The restricted stock vests and becomes exercisable with respect to 1/3 of the restricted stock on each of December 31, 2014, 2015 and 2016, respectively.
  2. The price in Column 4 is a weighted average price. The prices actually received ranged from $4.20 to $4.22. 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.
  3. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 19, 2009, became fully exercisable on May 19, 2012.
  4. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 18, 2010, vests and becomes exercisable in three equal installments on May 18, 2011, 2012 and 2013, respectively.
  5. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 23, 2011, vests and becomes exercisable in three equal installments on May 23, 2012, 2013 and 2014, respectively.
  6. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 12, 2012, vests and becomes exercisable in three equal installments on June 12, 2013, 2014 and 2015, respectively.
  7. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 28, 2013, vests and becomes exercisable in three equal installments on December 31, 2013, 2014 and 2015, respectively.