FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/31/2004 |
3. Issuer Name and Ticker or Trading Symbol
ONVIA COM INC [ ONVI ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 14,750 | D | |
Common Stock | 307,985 | I | Beneficial ownership through corporation and limited partnerships(3) |
Common Stock | 169,085 | I | Beneficial ownership through limited liability company(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option Grant (right to buy) | 03/31/2005 | 03/31/2014 | Onvia.com Directors Stock Option Plan(1) | 4,000 | $4.47 | D | |
Stock Option Grant (right to buy) | 03/31/2005 | 03/31/2014 | 1999 Stock Option Plan(2) | 18,750 | $4.47 | D |
Explanation of Responses: |
1. This option was granted under Onvia.com, Inc.'s Directors Stock Option Plan and vests as follows: 25% of the total options granted shall vest on each anniversary date. |
2. This option was granted under Onvia.com, Inc.'s Amended and Restated 1999 Stock Option Plan and vests as follows: 25% of the total options granted shall vest on the first anniversary date and the remaining 75% shall vest monthly thereafter in 36 equal installments for so long as Reporting Person remains a director of Onvia.com. |
3. Reporting Person is a stockholder of West Creek Capital, Inc., that is the general partner of West Creek Capital, LP, that is the investment adviser to West Creek Partners Fund,LP which owns 307,985 shares of common stock in Onvia.com. |
4. Reporting Person is a voting member of Cumberland Investment Partners, LLC which owns 169,085 shares of common stock in Onvia.com. |
Andrew H. Mun, Attorney-in-Fact for Reporting Person | 04/02/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |