Filing Details

Accession Number:
0001140361-14-022442
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-05-21 12:52:06
Reporting Period:
2014-05-19
Filing Date:
2014-05-21
Accepted Time:
2014-05-21 12:52:06
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
1265422 R James Kackley 2210 Woodland Drive
Manitowoc WI 54220
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 2014-05-19 10,000 $4.32 218,691 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 50,000 Indirect By Spouse as trustee
Common Stock 5,000 Indirect By Grandson
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Options (right to buy) $4.49 2008-07-27 2017-07-27 10,000 10,000 Direct
Common Stock Stock Options (right to buy) $11.61 2009-05-19 2018-05-19 14,851 14,851 Direct
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) $3.49 2019-08-03 35,000 35,000 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
2017-07-27 10,000 10,000 Direct
2018-05-19 14,851 14,851 Direct
2019-05-19 10,583 10,583 Direct
2019-08-03 35,000 35,000 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. The reporting person disclaims beneficial ownership of the shares held by his grandson, and this report should not be deemed an admission that the reporting person is the beneficial owner of his grandson's shares for purposes of Section 16 or for any other purpose.
  2. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted July 27, 2007, became fully exercisable on July 27, 2008.
  3. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 19, 2008, vests and becomes exercisable in three equal installments on May 19, 2009, 2010 and 2011, respectively.
  4. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 19, 2009, vests and becomes exercisable in three equal installments on May 19, 2010, 2011 and 2012, respectively.
  5. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted August 3, 2009, vests and becomes exercisable upon any termination of employment other than a termination for cause.
  6. 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.
  7. 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.
  8. 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.
  9. 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.