SEC Form 4 · accession 0001420811-15-000020
On Deck Capital, Inc. · ONDK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Hartwig
Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 4:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001420811
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 1, 2015 | A | 6,225 | $0.00 | A | 6,255 | D | |
| Common StockF2 | holding | — | — | — | 5,686,354 | I | See footnote |
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)F3 | $14.46 | Jun 1, 2015 | A | 9,837 | A | — | May 31, 2025 | Common Stock | 9,837 | 9,837 | D |
Explanation of responses
- F1The reported shares are represented by restricted stock units which vest in full on the earlier of the date of the Issuer's next annual meeting of stockholders or June 1, 2016.
- F2The reported shares are held of record by SAP Ventures Fund I Holdings, LLC ("SAP Holdings"). Sapphire Ventures Fund I, L.P. ("Sapphire Ventures LP") is the sole member of SAP Holdings and Sapphire Ventures (GPE) I, L.L.C. ("Sapphire GP"), previously reported as SAP Ventures (GPE) I, L.L.C., is the general partner of Sapphire Ventures LP. As a managing member of Sapphire GP, the Reporting Person shares voting and dispositive power with respect to the shares held by SAP Holdings. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein.
- F3Shares subject to the option vest in full on the earlier of the date of the Issuer's next annual meeting of stockholders or June 1, 2016.