Filing Details
- Accession Number:
- 0001140361-10-035693
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-08-31 17:49:35
- Reporting Period:
- 2010-08-30
- Filing Date:
- 2010-08-31
- Accepted Time:
- 2010-08-31 17:49:35
- 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 | President And Coo | Yes | Yes | 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 | 2010-08-30 | 10,000 | $2.29 | 197,976 | 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 | 45,000 | Indirect | By Spouse as trustee |
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 |
| 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 |
Footnotes
- The price in Column 4 is a weighted average price. The prices actually received ranged from $2.279 to $2.30. 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.
- 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.
- 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.
- 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.
- 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.
- 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.
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