SEC Form 4 · accession 0001420811-17-000066
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
May 9, 2017
Accepted (ET)
May 10, 2017 · 4:20 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 9, 2017 | M | 7,350 | $0.68 | A | 401,230 | D | |
| Common StockF2 | holding | — | — | — | 25,000 | 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 | $0.68 | May 9, 2017 | M | 7,350 | D | — | Oct 25, 2023 | Common Stock | 7,350 | 75,483 | D |
Explanation of responses
- F1Includes 11,043 shares previously reported as held directly by The Howard Katzenberg 2014 Grantor Annuity Trust dated December 7, 2014 for which the Reporting Person serves as trustee which were re-registered in the name of the Reporting Person on March 17, 2017 and are now held directly by the Reporting Person.
- F2The 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.
- F3One-fourth of the shares subject to the option vested on October 25, 2014 and one forty-eighth of the shares vest monthly thereafter.