Filing Details
- Accession Number:
- 0001140361-18-010592
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-27 18:59:47
- Reporting Period:
- 2018-02-23
- Accepted Time:
- 2018-02-27 18:59:47
- 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 |
|---|---|---|---|---|---|---|---|
| 1476048 | W Michael Altschaefl | 2210 Woodland Drive Manitowoc WI 54220 | Chief Executive Officer | 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 | 2018-02-23 | 24,000 | $0.86 | 363,829 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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) | $3.81 | 2010-10-30 | 2019-10-30 | 5,291 | 5,291 | 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 |
|---|---|---|---|
| 2019-10-30 | 5,291 | 5,291 | 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
- The price in Column 4 is a weighted average price. The prices actually paid ranged from $0.849 to $0.8699. 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.
- Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted October 30, 2009, vested and became exercisable in three equal installments on October 30, 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 May 18, 2010, vested and became exercisable in three equal installments on May 18, 2011, 2012 and 2013, respectively.
- Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 23, 2011, vested and became exercisable in three equal installments on May 23, 2012, 2013 and 2014, respectively.
- Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 12, 2012, vested and became exercisable in three equal installments on June 12, 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 28, 2013, vested and became exercisable in three equal installments on December 31, 2013, 2014 and 2015, respectively.
Billionaire Hedge Funds
