Filing Details
- Accession Number:
- 0001140361-16-069049
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-06-08 12:37:00
- Reporting Period:
- 2016-06-07
- Filing Date:
- 2016-06-08
- Accepted Time:
- 2016-06-08 12:37:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1595067 | Marc Meade | 2210 Woodland Drive Manitowoc WI 54220 | Executive Vice President | No | 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 | 2016-06-07 | 99,051 | $0.00 | 214,849 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2016-06-08 | 3,500 | $1.43 | 218,349 | 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) | $4.70 | 2011-02-01 | 2020-02-01 | 5,000 | 5,000 | Direct |
| Common Stock | Stock Options (right to buy) | $3.46 | 2011-05-18 | 2020-05-18 | 20,000 | 20,000 | Direct |
| Common Stock | Stock Options (right to buy) | $3.45 | 2011-11-01 | 2020-11-01 | 25,000 | 25,000 | Direct |
| Common Stock | Stock Options (right to buy) | $2.05 | 2014-02-01 | 2023-02-01 | 20,000 | 20,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-02-01 | 5,000 | 5,000 | Direct |
| 2020-05-18 | 20,000 | 20,000 | Direct |
| 2020-11-01 | 25,000 | 25,000 | Direct |
| 2023-02-01 | 20,000 | 20,000 | Direct |
Footnotes
- 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 June 7, 2017, 2018 and 2019, respectively.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $1.42 to $1.4298. 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 February 1, 2010, vests and becomes exercisable in 20% increments on February 1, 2011, 2012, 2013, 2014 and 2015, respectively.
- 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 10% increments on May 18, 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019 and 2020, respectively.
- Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted November 1, 2010, vests and becomes exercisable in 20% increments on November 1, 2011, 2012, 2013, 2014 and 2015, respectively.
- Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted February 1, 2013, vests and becomes exercisable in 20% increments on February 1, 2014, 2015, 2016, 2017 and 2018, respectively.
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