4//SEC Filing
Verfuerth Neal R 4
Accession 0001225208-09-013809
CIK 0001409375other
Filed
Jun 3, 8:00 PM ET
Accepted
Jun 4, 5:09 PM ET
Size
23.5 KB
Accession
0001225208-09-013809
Insider Transaction Report
Form 4
Verfuerth Neal R
DirectorPresident and CEO
Transactions
- Exercise/Conversion
Common Stock
2009-06-02$0.94/sh+50,000$46,850→ 819,234 total(indirect: By Spouse) - Exercise/Conversion
Common Stock
2009-06-02$0.69/sh+7,665$5,266→ 826,899 total(indirect: By Spouse) - Sale
Common Stock
2009-06-02$3.40/sh−57,665$195,784→ 769,234 total(indirect: By Spouse) - Exercise/Conversion
Stock Options (right to buy)
2009-06-02−7,665→ 0 total(indirect: By Spouse)Exercise: $0.69From: 2004-03-31Exp: 2011-10-01→ Common Stock (7,665 underlying) - Exercise/Conversion
Stock Options (right to buy)
2009-06-02−50,000→ 0 total(indirect: By Spouse)Exercise: $0.94From: 2007-03-31Exp: 2011-10-01→ Common Stock (50,000 underlying)
Holdings
- 204,546
Stock Options (right to buy)
Exercise: $2.20Exp: 2016-12-20→ Common Stock (204,546 underlying) - 108,911
Stock Options (right to buy)
Exercise: $5.35Exp: 2018-08-08→ Common Stock (108,911 underlying) - 1,957,861
Common Stock
- 35,276
Stock Options (right to buy)
Exercise: $3.78Exp: 2019-05-19→ Common Stock (35,276 underlying) - 180,958
Stock Options (right to buy)
Exercise: $4.49From: 2008-07-27Exp: 2011-07-27→ Common Stock (180,958 underlying) - 1,650(indirect: By Spouse)
Stock Options (right to buy)
Exercise: $5.35Exp: 2008-08-08→ Common Stock (1,650 underlying) - 40,000(indirect: By Spouse)
Stock Options (right to buy)
Exercise: $2.20Exp: 2016-12-20→ Common Stock (40,000 underlying) - 125,974(indirect: By Spouse)
Stock Options (right to buy)
Exercise: $4.49From: 2008-07-27Exp: 2011-07-27→ Common Stock (125,974 underlying)
Footnotes (7)
- [F1]The price in Column 4 is a weighted average price. the prices actually received ranged from $3.30 to $3.56. 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.
- [F2]Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted October 1, 2001, became fully vested on March 31, 2004.
- [F3]Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted October 1, 2001, became fully vested on March 31, 2007.
- [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 August 8, 2008, vests and becomes exercisable in 20% increments on August 8, 2009, 2010, 2011, 2012 and 2013, respectively.
- [F6]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.
- [F7]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.
Documents
Issuer
ORION ENERGY SYSTEMS, INC.
CIK 0001409375
Entity typeother
Related Parties
1- filerCIK 0001420983
Filing Metadata
- Form type
- 4
- Filed
- Jun 3, 8:00 PM ET
- Accepted
- Jun 4, 5:09 PM ET
- Size
- 23.5 KB