SEC Form 4 · accession 0001397635-15-000003
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).
Period of report
Oct 23, 2015
Accepted (ET)
Oct 29, 2015 · 7:18 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 | Oct 23, 2015 | S | 115 | $4.072 | D | 1,593,884 | I | See Footnote #1 |
| COMMON STOCKF2 | Oct 29, 2015 | S | 1,408 | $4.00 | D | 1,592,476 | I | See Footnote #2 |
| COMMON STOCKF3 | Oct 29, 2015 | S | 178 | $4.06 | D | 1,592,298 | I | See Footnote #3 |
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 357,403 shares directly owned by Nadel and Gussman Energy, LLC ("NGE").
- F2These shares include 1,236,481 shares directly owned by Asamara, and 355,995 shares directly owned by NGE.
- F3These shares include 1,236,481 shares directly owned by Asamara, and 355,817 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 shares. Messrs. Heyman and Adelson disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.