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1
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NAME OF REPORTING PERSONS
Neal R. Verfuerth
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
Not Applicable
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(a) ¨
(b) o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
2,204,665
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6
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SHARED VOTING POWER
0
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7
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SOLE DISPOSITIVE POWER
2,204,665
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8
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SHARED DISPOSITIVE POWER
0
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|
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,204,665
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
Not Applicable
|
o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.6%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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Item 1(a).
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Name of Issuer:
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Orion Energy Systems, Inc.
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Item 1(b).
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Address of Issuer’s Principal Executive Offices:
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2210 Woodland Drive, Manitowoc, WI 54220
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Item 2(a).
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Name of Person Filing:
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The person filing this Schedule 13G is Neal R. Verfuerth.
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Item 2(b).
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Address of Principal Business Office or, if none, Residence:
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2210 Woodland Drive, Manitowoc, WI 54220
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Item 2(c).
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Citizenship:
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Neal R. Verfuerth is a United States citizen.
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Item 2(d).
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Title of Class of Securities:
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Common Stock
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Item 2(e).
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CUSIP Number:
|
|
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686275108
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Item 3.
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If this statement is filed pursuant to sections 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
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Not Applicable
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Item 4.
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Ownership:
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(a)
|
Amount Beneficially Owned: 2,204,665 (1)
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(b)
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Percent of Class: 9.6%
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(c)
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Number of shares as to which such person has:
|
|
|
(i)
|
sole power to vote or to direct the vote: 2,204,665 (1)
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(ii)
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shared power to vote or to direct the vote: 0
|
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(iii)
|
sole power to dispose or to direct the disposition of: 2,204,665 (1)
|
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(iv)
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shared power to dispose or to direct the disposition of: 0
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(1)
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Includes (a) 1,732,861 shares held by Neal R. Verfuerth and (b) 471,804 shares issuable upon the exercise of stock options held by Neal R. Verfuerth that are exercisable within 60 days of December 31, 2011.
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Item 5.
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Ownership of Five Percent or Less of a Class:
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N/A
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person:
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N/A
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:
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N/A
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Item 8.
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Identification and Classification of Members of the Group:
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N/A
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Item 9.
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Notice of Dissolution of Group:
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N/A
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Item 10.
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Certification:
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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