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OMB APPROVAL |
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OMB Number:
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3235-0145
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Expires:
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February 28, 2009
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Estimated average burden hours per response
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. . . . . . . . . . . . . . . 10.4
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities
Exchange Act of 1934
(Amendment No. 1)*
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ORION ENERGY SYSTEMS
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(Name of Issuer)
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Common Stock
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(Title of Class of Securities)
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686275108
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(CUSIP Number)
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December 31, 2008
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(Date of Event Which Requires Filing of this Statement
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Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
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[ ] |
Rule 13d-1(b) |
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[X] |
Rule 13d-1(c) |
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[ ] |
Rule 13d-1(d) |
* |
The
remainder of this cover page shall be filled out for a reporting persons initial
filing on this form with respect to the subject class of securities, and for any
subsequent amendment containing information which would alter the disclosures provided in a
prior cover page. |
The information required in the
remainder of this cover page shall not be deemed to be filed for the purpose
of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise
subject to the liabilities of that section of the Act but shall be subject to all other
provisions of the Act (however, see the Notes).
(Continued on following page(s))
Page 1 of 6 Pages
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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) [ ]
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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 |
5
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SOLE VOTING POWER
3,156,238
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BENEFICIALLY
OWNED |
6
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SHARED VOTING POWER
0
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BY EACH
REPORTING |
7
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SOLE DISPOSITIVE POWER
3,156,238
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PERSON WITH:
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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
3,156,238
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
Not Applicable
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[ ]
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
13.7%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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Page 2 of 6 Pages
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Patricia A. 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) [ ]
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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 |
5
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SOLE VOTING POWER
3,156,238
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BENEFICIALLY
OWNED |
6
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SHARED VOTING POWER
0
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BY EACH
REPORTING |
7
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SOLE DISPOSITIVE POWER
3,156,238
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PERSON WITH:
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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
3,156,238
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
Not Applicable
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[ ]
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
13.7%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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Page 3 of 6 Pages
Item 1(a). |
Name
of Issuer: |
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Orion
Energy Systems, Inc. |
Item 1(b). |
Address
of Issuers Principal Executive Offices: |
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1204
Pilgrim Road Plymouth, WI 53073 |
Item 2(a). |
Name
of Person Filing: |
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The
persons filing this Schedule 13G are Neal R. Verfuerth and Patricia A. Verfuerth. |
Item 2(b). |
Address
of Principal Business Office or, if none, Residence: |
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(for
both Neal R. Verfuerth and Patricia A. Verfuerth) 1204 Pilgrim Road Plymouth, WI 53073 |
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Neal
R. Verfuerth and Patricia A. Verfuerth are United States citizens. |
Item 2(d). |
Title
of Class of Securities: |
Item 3. |
If
this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person
filing is a: |
Page 4 of 6 Pages
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(a) |
Amount
Beneficially Owned: 3,156,238(1) |
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(b) |
Percent
of Class: 13.7% |
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(c) |
Number
of shares as to which such person has: |
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(i) |
sole
power to vote or to direct the vote: 3,156,238(1) |
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(ii) |
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: 3,156,238(1) |
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(iv) |
shared
power to dispose or to direct the disposition of: 0 |
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(a) |
Amount
Beneficially Owned: 3,156,238(1) |
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(b) |
Percent
of Class: 13.7% |
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(c) |
Number
of shares as to which such person has: |
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(i) |
sole
power to vote or to direct the vote: 3,156,238(1) |
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(ii) |
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: 3,156,238(1) |
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(iv) |
shared
power to dispose or to direct the disposition of: 0 |
(1) |
Includes
(a) 1,957,861 shares held by Neal R. Verfuerth; (b) 235,504 shares issuable upon the
exercise of stock options held by Neal R. Verfuerth that are exercisable within
60 days of December 31, 2008; (c) 769,234 shares held by Patricia A. Verfuerth
and (d) 193,639 shares issuable upon the exercise of stock options held by
Patricia A. Verfuerth that are exercisable within 60 days of December 31,
2008. Neal R. Verfuerth and Patricia A. Verfuerth are husband and wife and as
such, each is deemed to be the beneficial owner of shares held by the other. |
Item 5. |
Ownership
of Five Percent or Less of a Class. |
Item 6. |
Ownership
of More than Five Percent on Behalf of Another Person. |
Page 5 of 6 Pages
Item 7. |
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on By the
Parent Holding Company. |
Item 8. |
Identification
and Classification of Members of the Group. |
Item 9. |
Notice
of Dissolution of Group. |
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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. |
Exhibits. |
Exhibit 1 Agreement to file Schedule 13G jointly (previously filed
as Exhibit 1 to the reporting parties Schedule 13G filed February 14, 2008). |
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the
information set forth in this statement is true, complete and correct.
Date: February 16, 2009
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/s/ Neal R. Verfuerth |
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Neal R. Verfuerth |
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/s/ Patricia A. Verfuerth |
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Patricia A. Verfuerth |
Page 6 of 6 Pages