SEC Form 4 · accession 0001420811-15-000087
On Deck Capital, Inc. · ONDK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard Katzenberg
Officer — Chief Financial Officer
Period of report
Dec 21, 2015
Accepted (ET)
Dec 22, 2015 · 4:16 pm EST
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 StockF2 | Dec 21, 2015 | S | 25,000 | $10.7707 | D | 422,439 | D | |
| Common StockF3 | holding | — | — | — | 25,000 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 25,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 28, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.415 to $10.88, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- F3The reported shares are held directly by The Howard Katzenberg 2014 Grantor Annuity Trust dated December 7, 2014 for which the Reporting Person serves as trustee.
- F4The reported shares are held directly by The Howard Katzenberg 2014 Dynasty Trust dated December 7, 2014 for which the Reporting Person's spouse serves as a trustee.