0001209191-17-006560.txt : 20170201 0001209191-17-006560.hdr.sgml : 20170201 20170201111803 ACCESSION NUMBER: 0001209191-17-006560 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170130 FILED AS OF DATE: 20170201 DATE AS OF CHANGE: 20170201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ONVIA INC CENTRAL INDEX KEY: 0001100917 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 911859172 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 509 OLIVE WAY, SUITE 400 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 206-373-9404 MAIL ADDRESS: STREET 1: 509 OLIVE WAY, SUITE 400 CITY: SEATTLE STATE: WA ZIP: 98101 FORMER COMPANY: FORMER CONFORMED NAME: ONVIA COM INC DATE OF NAME CHANGE: 19991213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mann Russell CENTRAL INDEX KEY: 0001299668 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35164 FILM NUMBER: 17563660 MAIL ADDRESS: STREET 1: C/O ONVIA, INC. STREET 2: 509 OLIVE WAY, SUITE 400 CITY: SEATTLE STATE: WA ZIP: 98101 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-30 0 0001100917 ONVIA INC ONVI 0001299668 Mann Russell 509 OLIVE WAY, SUITE 400 SEATTLE WA 98101 1 1 0 0 President and CEO Common Stock 2017-01-30 4 A 0 25000 4.45 A 25000 D Common Stock 2017-01-30 4 A 0 50000 0.00 A 75000 D Common Stock 2017-01-30 4 A 0 25000 0.00 A 100000 D Stock Option Grant (right to buy) 4.45 2017-01-30 4 A 0 225000 0.00 A 2021-01-30 Common Stock 225000 225000 D Restricted stock award requiring continuous employment through 7/30/2017 for vesting. Restricted Stock Units are convertible into common stock on a 1 for 1 basis after vesting. These Restricted Stock Units vest on January 30, 2018 provided the reporting person remains an employee of Onvia through such date. Subject to continuing employment with Onvia through the vesting date:(i) 100,000 options will vest and become exercisable over three years - with 33,334 options vesting and becoming exercisable on January 30, 2017 and 2,777.75 options vesting and becoming exercisable on the last day of each subsequent month; (ii) 75,000 options will vest and become exercisable based on achievement of operating profit and/or revenue goals established in 2017 and (iii) 50,000 options will vest and become exercisable based on attainment of total shareholder return goals established in 2017. /s/ Amy Osler, Attorney-in-Fact for Russell Mann 2017-02-01