SEC Form 4 · accession 0001209191-17-057470
ONVIA INC · ONVI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jeffrey C Ballowe
Director
Period of report
Oct 19, 2017
Accepted (ET)
Oct 19, 2017 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001100917
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 19, 2017 | M | 2,500 | $8.06 | A | 94,745 | D | |
| Common Stock | Oct 19, 2017 | M | 5,000 | $8.10 | A | 99,745 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $8.06 | Oct 19, 2017 | M | 2,500 | A | — | Oct 25, 2017 | Common Stock | 2,500 | 0 | D |
| Stock Option (right to buy)F2 | $8.10 | Oct 19, 2017 | M | 5,000 | A | — | Oct 19, 2017 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1This stock option was granted under Onvia's 1999 Stock Option Plan on October 25, 2007 and was fully vested on the one year anniversary, October 25, 2008.
- F2This stock option was granted under Onvia's 1999 Stock Option Plan on October 19, 2007 and vested as follows: 25% of the total shares granted vested on the one year anniversary of the grant, 10/19/2008, and the remaining 75% vested monthly thereafter in 36 equal installments.