SEC Form 4 · accession 0001420811-16-000226
On Deck Capital, Inc. · ONDK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas A Sinigaglia
Officer — SVP/Principal Accounting Ofcr
Period of report
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 4:23 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 | Sep 19, 2016 | A | 16,530 | $0.00 | A | 61,548 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $5.95 | Sep 19, 2016 | A | 18,182 | A | — | Sep 18, 2026 | Common Stock | 18,182 | 18,182 | D |
Explanation of responses
- F1The reported shares are represented by restricted stock units of which 8,265 vest in three equal annual installments and 8,265 vest in four equal annual installments, in each case, beginning on November 1, 2017.
- F2One-fourth of the shares subject to the option vest on September 19, 2017 and one forty-eighth of the shares vest monthly thereafter.