4//SEC Filing
Verfuerth Neal R 4
Accession 0001140361-10-044298
CIK 0001409375other
Filed
Nov 7, 7:00 PM ET
Accepted
Nov 8, 6:17 PM ET
Size
19.7 KB
Accession
0001140361-10-044298
Insider Transaction Report
Form 4
Verfuerth Neal R
DirectorPresident and CEO
Transactions
- Sale
Common Stock
2010-11-08$3.41/sh−23,620$80,459→ 723,326 total(indirect: By Spouse) - Sale
Common Stock
2010-11-05$3.43/sh−26,380$90,454→ 746,946 total(indirect: By Spouse)
Holdings
- 1,807,861
Common Stock
- 34,207
Stock Options (right to buy)
Exercise: $3.46Exp: 2020-05-18→ Common Stock (34,207 underlying) - 125,974(indirect: By Spouse)
Stock Options (right to buy)
Exercise: $4.49Exp: 2011-07-27→ Common Stock (125,974 underlying) - 108,911
Stock Options (right to buy)
Exercise: $5.35Exp: 2018-08-08→ Common Stock (108,911 underlying) - 20,000(indirect: By Spouse)
Stock Options (right to buy)
Exercise: $2.20Exp: 2016-12-20→ Common Stock (20,000 underlying) - 180,958
Stock Options (right to buy)
Exercise: $4.49Exp: 2011-07-27→ Common Stock (180,958 underlying) - 35,276
Stock Options (right to buy)
Exercise: $3.78Exp: 2019-05-19→ Common Stock (35,276 underlying) - 204,546
Stock Options (right to buy)
Exercise: $2.20Exp: 2016-12-20→ Common Stock (204,546 underlying) - 1,650(indirect: By Spouse)
Stock Options (right to buy)
Exercise: $5.35Exp: 2018-08-08→ Common Stock (1,650 underlying)
Footnotes (8)
- [F1]All shares were sold by Mrs. Verfuerth, and not by Mr. Verfuerth.
- [F2]The price in Column 4 is a weighted average price. The prices actually received ranged from $3.40 to $3.52. 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.
- [F3]The price in Column 4 is a weighted average price. The prices actually received ranged from $3.36 to $3.45. 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.
- [F4]Grant to reporting person of option to buy shares under the 2004 Equity Incentive Plan. This option, granted December 20, 2006, vests and becomes exercisable in 20% increments on December 20, 2007, 2008, 2009, 2010 and 2011, respectively.
- [F5]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.
- [F6]Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted August 8, 2008, vests and becomes exercisable in 20% increments on August 8, 2009, 2010, 2011, 2012 and 2013, respectively.
- [F7]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 20% increments on May 19, 2010, 2011, 2012, 2013 and 2014, respectively.
- [F8]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 20% increments on May 18, 2011, 2012, 2013, 2014 and 2015, respectively.
Documents
Issuer
ORION ENERGY SYSTEMS, INC.
CIK 0001409375
Entity typeother
Related Parties
1- filerCIK 0001420983
Filing Metadata
- Form type
- 4
- Filed
- Nov 7, 7:00 PM ET
- Accepted
- Nov 8, 6:17 PM ET
- Size
- 19.7 KB