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4//SEC Filing

Verfuerth Patricia A 4

Accession 0001225208-09-013811

CIK 0001409375other
View on SEC.govCompany Profile

Filed

Jun 3, 8:00 PM ET

Accepted

Jun 4, 5:09 PM ET

Size

23.1 KB

Accession

0001225208-09-013811

Insider Transaction Report

Form 4
Period: 2009-06-02
ORION ENERGY SYSTEMS, INC.OESX
Verfuerth Patricia A
VP of Operations
Transactions
  • Exercise/Conversion

    Common Stock

    2009-06-02$0.94/sh+50,000$46,850→ 819,234 total
  • Exercise/Conversion

    Common Stock

    2009-06-02$0.69/sh+7,665$5,266→ 826,899 total
  • Sale

    Common Stock

    2009-06-02$3.40/sh−57,665$195,784→ 769,234 total
  • Exercise/Conversion

    Stock Options (right to buy)

    2009-06-02−7,665→ 0 total
    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
    Exercise: $0.94From: 2007-03-31Exp: 2011-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By Spouse)
    1,957,861

  • Stock Options (right to buy)

    (indirect: By Spouse)
    Exercise: $4.49From: 2008-07-27Exp: 2011-07-27→ Common Stock (180,958 underlying)
    180,958

  • Stock Options (right to buy)

    Exercise: $2.20Exp: 2016-12-20→ Common Stock (40,000 underlying)
    40,000

  • Stock Options (right to buy)

    Exercise: $5.35Exp: 2018-08-08→ Common Stock (1,650 underlying)
    1,650

  • Stock Options (right to buy)

    Exercise: $4.49From: 2008-07-27Exp: 2011-07-27→ Common Stock (125,974 underlying)
    125,974

  • Stock Options (right to buy)

    (indirect: By Spouse)
    Exercise: $2.20Exp: 2016-12-20→ Common Stock (204,546 underlying)
    204,546

  • Stock Options (right to buy)

    (indirect: By Spouse)
    Exercise: $5.35Exp: 2018-08-08→ Common Stock (108,911 underlying)
    108,911

  • Stock Options (right to buy)

    (indirect: By Spouse)
    Exercise: $3.78Exp: 2019-05-19→ Common Stock (35,276 underlying)
    35,276
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 Equity Incentive Plan. This option, granted July 27, 2007, becomes fully exercisable on July 27, 2008.
  • [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.

Documents

1 file

Issuer

ORION ENERGY SYSTEMS, INC.

CIK 0001409375

→
Entity typeother

Related Parties

1
  • filerCIK 0001418599

Filing Metadata

Form type
4
Filed
Jun 3, 8:00 PM ET
Accepted
Jun 4, 5:09 PM ET
Size
23.1 KB
View on SEC.gov