SEC Form 4 · accession 0001397635-15-000001
ONVIA INC · ONVI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 28, 2015
Accepted (ET)
Oct 1, 2015 · 7:02 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 STOCKF1 | Sep 28, 2015 | S | 500 | $4.10 | D | 1,597,739 | I | SEE FOOTNOTE #1 |
| COMMON STOCKF2 | Sep 28, 2015 | S | 200 | $4.05 | D | 1,597,539 | I | SEE FOOTNOTE #2 |
| COMMON STOCKF3 | Sep 28, 2015 | S | 100 | $4.01 | D | 1,597,439 | I | SEE FOOTNOTE #3 |
| COMMON STOCKF4 | Sep 28, 2015 | S | 3,240 | $4.00 | D | 1,594,199 | I | SEE FOOTNOTE #4 |
| COMMON STOCKF5 | Sep 30, 2015 | S | 100 | $4.02 | D | 1,594,099 | I | SEE FOOTNOTE #5 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares include 1,236,481 shares directly owned by Asamara, LLC ("Asamara"), and 361,258 shares directly owned by Nadel and Gussman Energy, LLC ("NGE").
- F2These shares include 1,236,481 shares directly owned by Asamara, and 361,058 shares directly owned by NGE.
- F3These shares include 1,236,481 shares directly owned by Asamara, and 360,958 shares directly owned by NGE.
- F4These shares include 1,236,481 shares directly owned by Asamara, and 357,718 shares directly owned by NGE.
- F5These shares include 1,236,481 shares directly owned by Asamara, and 357,618 shares directly owned by NGE.
Remarks
This is a joint filing by Stephen J. Heyman and James F. Adelson. Messrs. Heyman and Adelson are managers of Ellbar Partners Management, LLC, the sole manager of Asamara, LLC ("Asamara"). Messrs. Heyman and Adelson are managers of Nadel and Gussman Management, LLC, the sole manager of Nadel and Gussman Energy, LLC ("NGE"). Asamara and NGE have sole direct voting and dispositive powers over their respective securities. Messrs. Heyman and Adelson disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.