SEC Form 4 · accession 0001420811-15-000065
On Deck Capital, Inc. · ONDK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Noah Breslow
Officer — CEO & Chairman · Director
Period of report
Sep 15, 2015
Accepted (ET)
Sep 16, 2015 · 4:09 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 Stock | Sep 15, 2015 | A | 1,749 | $9.0015 | A | 204,083 | D | |
| Common StockF2 | holding | — | — | — | 32,000 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 32,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported shares were acquired under the On Deck Capital, Inc. 2014 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(c) and Rule 16b-3(d).
- F2The reported shares are held directly in a trust for the Reporting Person's minor son for which the Reporting Person's spouse serves as trustee.
- F3The reported shares are held directly in a trust for the Reporting Person's minor daughter for which the Reporting Person's spouse serves as trustee.