SEC Form 4 · accession 0001420811-16-000230
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
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 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,F2 | holding | — | — | — | 11,043 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $5.95 | Sep 19, 2016 | A | 218,182 | A | — | Sep 18, 2026 | Common Stock | 218,182 | 218,182 | D |
Explanation of responses
- F1The number of shares reported as indirectly owned has been adjusted to correct an arithmetic error on the Reporting Person's prior Form 4 filed on March 17, 2016 and inadvertently carried forward on Form 4s filed on June 29, 2016 and August 1, 2016. In accordance with Instruction 9(b), only the line and transaction being amended is included and the remainder of the lines and transactions from the Form 4 filed on March 17, 2016 have been excluded.
- F2The 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.
- F3One-fourth of the shares subject to the option vest on September 19, 2017 and one forty-eighth of the shares vest monthly thereafter.