SEC Form 4 · accession 0001420811-17-000049
On Deck Capital, Inc. · ONDK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Rosenthal
Director
Period of report
Apr 3, 2017
Accepted (ET)
Apr 5, 2017 · 4:25 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 | Apr 3, 2017 | A | 41,773 | $0.00 | A | 41,773 | D |
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)F2 | $4.74 | Apr 3, 2017 | A | 67,006 | A | — | Apr 2, 2027 | Common Stock | 67,006 | 67,006 | D |
Explanation of responses
- F1The reported shares are represented by restricted stock units which vest in twelve equal, quarterly installments beginning on September 30, 2017.
- F2Shares subject to the option vest in forty-eight equal monthly installments beginning on May 3, 2017.