SEC Form 4/A · accession 0001397635-15-000004
ONVIA INC · ONVI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Period of report
Oct 23, 2015
Accepted (ET)
Oct 30, 2015 · 1:40 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,F2 | Oct 23, 2015 | S | 115 | $4.07 | D | 1,593,884 | I | See Footnote #2 |
| COMMON STOCKF3,F4 | Oct 29, 2015 | S | 1,586 | $4.00 | D | 1,592,298 | I | See Footnote #4 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $4.07 to $4.09 inclusive. The price reported above reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2These shares include 1,236,481 shares directly owned by Asamara, LLC, and 357,403 shares directly owned by Nadel and Gussman Energy, LLC.
- F3This transaction was executed in multiple trades at prices ranging from $4.00 to $4.09 inclusive. The price reported above reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F4These shares include 1,236,481 shares directly owned by Asamara, LLC, and 355,817 shares directly owned by Nadel and Gussman Energy, LLC.
Remarks
This is a joint filing by Stephen J. Heyman and James F. Adelson. Messrs. Heyman and Adelson are the managers of (1) Ellbar Partners Management, LLC, the sole manager of Asamara, LLC ("Asamara"), and (2) 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.