-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SopXqAEFX4QaRvXjD954eJ4reUiFHeKtAiyd8j97pIU9zJbWzjv6UharY1qKX/DW oG8adoLaRQXsZXZNIlcvlg== 0001225208-10-007403.txt : 20100308 0001225208-10-007403.hdr.sgml : 20100308 20100308163358 ACCESSION NUMBER: 0001225208-10-007403 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100305 FILED AS OF DATE: 20100308 DATE AS OF CHANGE: 20100308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Verfuerth Neal R CENTRAL INDEX KEY: 0001420983 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33887 FILM NUMBER: 10664118 MAIL ADDRESS: STREET 1: ORION ENERGY SYSTEMS, INC. STREET 2: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ORION ENERGY SYSTEMS, INC. CENTRAL INDEX KEY: 0001409375 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 391847269 STATE OF INCORPORATION: WI FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 BUSINESS PHONE: 800-660-9340 MAIL ADDRESS: STREET 1: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 4 1 doc4.xml X0303 4 2010-03-05 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001420983 Verfuerth Neal R 2210 WOODLAND DRIVE MANITOWOC WI 54220 1 1 Chief Executive Officer Common Stock 2010-03-05 4 S 0 20000 5.2868 D 1877861 D Common Stock 769234 I By Spouse Stock Options (right to buy) 2.2 2016-12-20 Common Stock 204546 204546 D Stock Options (right to buy) 5.35 2018-08-08 Common Stock 108911 108911 D Stock Options (right to buy) 3.78 2019-05-19 Common Stock 35276 35276 D Stock Options (right to buy) 4.49 2008-07-27 2011-07-27 Common Stock 180958 180958 D Stock Options (right to buy) 5.35 2008-08-08 Common Stock 1650 1650 I By Spouse Stock Options (right to buy) 2.2 2016-12-20 Common Stock 40000 40000 I By Spouse Stock Options (right to buy) 4.49 2008-07-27 2011-07-27 Common Stock 125974 125974 I By Spouse The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 16, 2010. The price in Column 4 is a weighted average price. The prices actually received ranged from $5.2201 to $5.3600. 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 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. 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. 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. 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. /s/ Peter C. Underwood, Attorney-in-Fact 2010-03-08 -----END PRIVACY-ENHANCED MESSAGE-----