SEC Form 4 · accession 0001140361-15-001874
ORION ENERGY SYSTEMS, INC. · OESX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth L Goodson Jr.
Director
Period of report
Aug 7, 2014
Accepted (ET)
Jan 15, 2015 · 2:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409375
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 7, 2014 | A | 1,912 | $0.00 | A | 33,521 | D | |
| Common StockF1 | Nov 6, 2014 | A | 2,012 | $0.00 | A | 35,533 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F2 | $2.41 | holding | — | — | — | Dec 31, 2013 | May 28, 2023 | Common Stock | 36,568 | 36,568 | D |
Explanation of responses
- F1Shares granted in lieu of cash for quarterly retainer and annual Committee Chairman fees pursuant to Issuer's 2004 Stock and Incentive Awards Plan.
- F2Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted May 28, 2013, vests and becomes exercisable in three equal installments on December 31, 2013, 2014 and 2015, respectively.