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ORION ENERGY SYSTEMS, INC. — Director's Dealing 2012
Nov 15, 2012
34783_dirs_2012-11-15_a2491a63-1af6-42b6-a3c2-64efb220e313.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ORION ENERGY SYSTEMS, INC. (OESX)
CIK: 0001409375
Period of Report: 2012-11-13
Reporting Person: KACKLEY JAMES R (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-13 | Common Stock | P | 10000 | $1.6647 | Acquired | 207976 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 45000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options (right to buy) | $4.49 | 2017-07-27 | Common Stock (10000) | 10000 | Direct |
| Stock Options (right to buy) | $11.61 | 2018-05-19 | Common Stock (14851) | 14851 | Direct |
| Stock Options (right to buy) | $3.78 | 2019-05-19 | Common Stock (10583) | 10583 | Direct |
| Stock Options (right to buy) | $3.49 | 2019-08-03 | Common Stock (35000) | 35000 | Direct |
| Stock Options (right to buy) | $3.46 | 2020-05-18 | Common Stock (19912) | 19912 | Direct |
| Stock Options (right to buy) | $4.19 | 2021-05-23 | Common Stock (22045) | 22045 | Direct |
| Stock Options (right to buy) | $2.03 | 2022-06-12 | Common Stock (26646) | 26646 | Direct |
Footnotes
F1: 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.
F2: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 19, 2008, became fully exercisable on May 19, 2011.
F3: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 19, 2009, became fully exercisable on May 19, 2012.
F4: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted August 3, 2009, vests and becomes exercisable upon any termination of employment other than a termination for cause.
F5: 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 three equal installments on May 18, 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 23, 2011, vests and becomes exercisable in three equal installments on May 23, 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 June 12, 2012, vests and becomes exercisable in three equal installments on June 12, 2013, 2014 and 2015, respectively.