SEC Form 4 · accession 0001437749-15-014901
Avenue Financial Holdings, Inc. · AVNU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Dorn
Officer — SVP, Chief Mrktg & Strategy
Period of report
Aug 3, 2015
Accepted (ET)
Aug 5, 2015 · 5:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001616297
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 3, 2015 | M | 7,000 | $10.00 | A | 11,375 | D | |
| Common Stock | Aug 3, 2015 | F | 7,000 | $13.25 | D | 4,375 | 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) | $10.00 | Aug 3, 2015 | M | 5,000 | D | Apr 30, 2015 | Sep 17, 2017 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy) | $10.00 | Aug 3, 2015 | M | 2,000 | D | Apr 30, 2015 | Aug 19, 2024 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1The reported transactions represent the exercise of 10-year options and simultaneous sale of the shares acquired upon exercise.