SEC Form 4 · accession 0001420811-16-000169
On Deck Capital, Inc. · ONDK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James D Robinson III
Director · 10% Owner
Period of report
May 11, 2016
Accepted (ET)
May 12, 2016 · 4:41 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 | May 11, 2016 | A | 19,272 | $0.00 | A | 25,497 | D | |
| Common StockF2 | holding | — | — | — | 8,627,396 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF3 | $4.67 | May 11, 2016 | A | 27,650 | A | — | May 10, 2026 | Common Stock | 27,650 | 27,650 | 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 May 11, 2017.
- F2The reported shares are held of record by RRE Ventures IV, L.P. ("RRE LP"). The Reporting Person is a member of RRE Ventures GP IV, LLC, the general partner of RRE LP. 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 May 11, 2017.