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Filing Details

Accession Number:: 0001567619-20-006986
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2020-03-25 12:07:31
Reporting Period:: 2019-11-14

Accepted Time:: 2020-03-25 12:07:31
Original Submission Date:: 2019-11-18
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
1681065	A. Scott Green	2210 Woodland Drive Manitowoc WI 54220	Chief Operating Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2019-11-14	19,145	$3.27	163,743	No	4	S	Indirect	By ANKMC, LLC
Common Stock	Disposition	2019-11-14	15,270	$3.23	148,473	No	4	S	Indirect	By ANKMC, LLC
Common Stock	Disposition	2019-11-15	23,473	$3.26	125,000	No	4	S	Indirect	By ANKMC, LLC
Common Stock	Disposition	2019-11-15	125,000	$3.29	10	No	4	S	Indirect	By ANKMC, LLC
Common Stock	Disposition	2019-11-15	10	$3.11	0	No	4	S	Indirect	By ANKMC, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By ANKMC, LLC
No	4	S	Indirect	By ANKMC, LLC
No	4	S	Indirect	By ANKMC, LLC
No	4	S	Indirect	By ANKMC, LLC
No	4	S	Indirect	By ANKMC, LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	351,049	Direct

Footnotes

This amended Form 4 is being filed to correct the number of shares held directly and indirectly by the reporting person. The reporting person's initial Form 3 and subsequent Form 4 filings inadvertently over-reported a holding of 125,270 shares held indirectly by the reporting person's 401k plan that had been disposed of prior to his becoming a Section 16 reporting person. In addition, the reporting person's initial Form 3 and subsequent Form 4 filings inadvertently under-reported the reporting person's direct holdings by 50,000 shares that the reporting person held in an IRA at the time he became a Section 16 reporting person. Please refer to the reporting person's Form 3/A filed with the SEC on March 25, 2020. (continued in next footnote)
Additionally, 175,648 shares sold by ANKMC, LLC were also inadvertently included in the reporting person's direct holdings balance. The duplication of these shares resulted from the reporting of the reporting person's purchases of 37,450 shares in June 2018 by ANKMC, LLC as direct holdings, and a transfer in June 2018 of 138,198 shares from the reporting person's direct holdings to ANKMC, LLC which was not reflected in the reporting person's direct holdings. This amended Form 4 is also being filed to include an additional sale of 10 shares from ANKMC, LLC which was not previously reported. The net amount of over-reported direct holdings, and the under-reported indirect holdings, result in the reporting person holding a total of 250,928 fewer shares than originally reported on the reporting person's Form 4 filed on November 18, 2019.
The price in Column 4 is a weighted average price. The prices actually received ranged from $3.26 to $3.31. 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 an average weighted price.
Shares owned by ANKMC, LLC, of which the reporting person is the sole member.
The price in Column 4 is a weighted average price. The prices actually received ranged from $3.205 to $3.30. 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 an average weighted price.
The price in Column 4 is a weighted average price. The prices actually received ranged from $3.25 to $3.30. 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 an average weighted price.
The price in Column 4 is a weighted average price. The prices actually received ranged from $3.18 to $3.39. 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 an average weighted price.