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ORION ENERGY SYSTEMS, INC. — Director's Dealing 2012
Jul 11, 2012
34783_dirs_2012-07-11_4a18300b-59d6-4b91-9f40-4f3675a7f551.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: 2012-07-09
Reporting Person: Verfuerth Neal R (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-07-09 | Common Stock | J | 434174 | — | Disposed | 1348687 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options (right to buy) | $2.2 | 2016-12-20 | Common Stock (204546) | 204546 | Direct |
| Stock Options (right to buy) | $5.35 | 2018-08-08 | Common Stock (108911) | 108911 | Direct |
| Stock Options (right to buy) | $3.78 | 2019-05-19 | Common Stock (35276) | 35276 | Direct |
| Stock Options (right to buy) | $3.46 | 2020-05-18 | Common Stock (34207) | 34207 | Direct |
| Stock Options (right to buy) | $2.00 | 2022-06-18 | Common Stock (200000) | 200000 | Direct |
Footnotes
F1: Transfer of shares to the reporting person's ex-spouse pursuant to a divorce decree.
F2: 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.
F3: 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.
F4: 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.
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 20% increments on May 18, 2011, 2012, 2013, 2014 and 2015, respectively.
F6: Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted June 18, 2012, vests and becomes exercisable in 20% increments on June 18, 2013, 2014, 2015, 2016 and 2017, respectively.