-----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, Wi16od1BxVD44c0i/AVWxY81ROpacOBnxxfZSegOspCFzNrEe8s15KDEj6A9j1TJ d/SCKorfmtOa1TS0VXzORQ== 0001225208-08-010497.txt : 20080618 0001225208-08-010497.hdr.sgml : 20080618 20080618171444 ACCESSION NUMBER: 0001225208-08-010497 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080616 FILED AS OF DATE: 20080618 DATE AS OF CHANGE: 20080618 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Potts Michael J CENTRAL INDEX KEY: 0001418594 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33887 FILM NUMBER: 08906316 BUSINESS ADDRESS: BUSINESS PHONE: (920) 892-9340 MAIL ADDRESS: STREET 1: ORION ENERGY SYSTEMS, INC. STREET 2: 1204 PILGRIM ROAD CITY: PLYMOUTH STATE: WI ZIP: 53073 4 1 doc4.xml X0202 4 2008-06-16 0001409375 ORION ENERGY SYSTEMS, INC. OESX 0001418594 Potts Michael J 1204 PILGRIM ROAD PLYMOUTH WI 53073 1 1 Executive Vice President Common Stock 2008-06-16 4 M 0 5000 0.687 A 140970 D Common Stock 2008-06-16 4 S 0 5000 10.11 D 135970 D Common Stock 2008-06-17 4 M 0 2500 0.687 A 138470 D Common Stock 2008-06-17 4 S 0 2500 10.6 D 135970 D Stock Options (right to buy) 0.687 2008-06-16 4 M 0 5000 0 D 2004-03-31 2011-06-01 Common Stock 5000 335318 D Stock Options (right to buy) 0.687 2008-06-17 4 M 0 2500 0 D 2004-03-31 2011-06-01 Common Stock 2500 332818 D Stock Options (right to buy) 0.937 2007-03-31 2011-10-01 Common Stock 250000 250000 D Stock Options (right to buy) 2.2 2016-12-20 Common Stock 75000 75000 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29, 2007. Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted June 1, 2001, became fully vested on March 31, 2004. Grant to reporting person of option to buy shares under the 2003 Stock Option Plan. This option, granted October 1, 2001, became fully vested on March 31, 2007. 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. Peter C. Underwood, Attorney-in-Fact 2008-06-18 -----END PRIVACY-ENHANCED MESSAGE-----