0001420811-16-000203.txt : 20160801 0001420811-16-000203.hdr.sgml : 20160801 20160801171023 ACCESSION NUMBER: 0001420811-16-000203 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160728 FILED AS OF DATE: 20160801 DATE AS OF CHANGE: 20160801 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: On Deck Capital, Inc. CENTRAL INDEX KEY: 0001420811 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 421709682 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1400 BROADWAY STREET 2: 25TH FLOOR CITY: New York STATE: ny ZIP: 10018 BUSINESS PHONE: 888-269-4246 MAIL ADDRESS: STREET 1: 1400 BROADWAY STREET 2: 25TH FLOOR CITY: New York STATE: ny ZIP: 10018 FORMER COMPANY: FORMER CONFORMED NAME: On Deck Capital Inc DATE OF NAME CHANGE: 20071210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Katzenberg Howard CENTRAL INDEX KEY: 0001627468 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36779 FILM NUMBER: 161798149 MAIL ADDRESS: STREET 1: C/O ON DECK CAPITAL INC. STREET 2: 1400 BROADWAY 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 4 1 wf-form4_147008581053387.xml FORM 4 X0306 4 2016-07-28 0 0001420811 On Deck Capital, Inc. ONDK 0001627468 Katzenberg Howard C/O ON DECK CAPITAL, INC. 1400 BROADWAY, 25TH FLOOR NEW YORK NY 10018 0 1 0 0 Chief Financial Officer Common Stock 2016-07-28 4 S 0 24000 5.2342 D 388396 D Common Stock 2016-08-01 4 F 0 5559 5.20 D 382837 D Common Stock 11034 I See footnote Common Stock 25000 I See footnote The reported shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 28, 2015. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.20 to $5.33, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. The reported shares were withheld to satisfy the Reporting Person's tax liability in connection with the vesting of restricted stock units. No shares were sold. The 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. The 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. /s/ Robert A. Zuccaro, by power of attorney 2016-08-01