-----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, SeH+07R1U+jS4SimT/6sxZgFvpbCS8xFdtwSwRhl6cpSU+youZXf8DoJgss7kBcz pihdNYrSiV+t0RGhv0elIg== 0001140361-11-005370.txt : 20110201 0001140361-11-005370.hdr.sgml : 20110201 20110201165308 ACCESSION NUMBER: 0001140361-11-005370 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110131 FILED AS OF DATE: 20110201 DATE AS OF CHANGE: 20110201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jensen Scott R CENTRAL INDEX KEY: 0001440459 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33887 FILM NUMBER: 11563710 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 doc1.xml FORM 4 X0303 4 2011-01-31 0 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001440459 Jensen Scott R 2210 WOODLAND DRIVE MANITOWOC WI 54220 0 1 0 0 CFO and Treasurer Common Stock 2011-01-31 4 M 0 1000 2.25 A 13000 D Common Stock 2011-01-31 4 S 0 1000 4.75 D 12000 D Stock Options (right to buy) 2.25 2011-01-31 4 M 0 1000 0 D 2014-08-30 Common Stock 1000 6000 D Stock Options (right to buy) 2.20 2017-03-01 Common Stock 25000 25000 D Stock Options (right to buy) 5.35 2018-08-08 Common Stock 16502 16502 D Stock Options (right to buy) 3.78 2019-05-19 Common Stock 11759 11759 D Stock Options (right to buy) 5.44 2020-02-05 Common Stock 100000 100000 D Stock Options (right to buy) 3.46 2020-05-18 Common Stock 10329 10329 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 28, 2010. Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted August 30, 2004, vests as to 4,000 shares on each of March 31, 2008 and 2009, respectively. Grant to reporting person of option to buy shares under the 2004 Stock and Incentive Awards Plan. This option, granted March 1, 2007, vests and becomes exercisable in 20% increments on March 1, 2008, 2009, 2010, 2011 and 2012, 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 February 5, 2010, vests and becomes exercisable in 20% increments on February 5, 2011, 2012, 2013, 2014 and 2015, respectively. 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. /s/ Steven R. Barth, Attorney-in-Fact 2011-02-01 -----END PRIVACY-ENHANCED MESSAGE-----