SEC Form 4 · accession 0001420811-18-000145
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
Aug 28, 2018
Accepted (ET)
Aug 29, 2018 · 4:15 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 | Aug 28, 2018 | M | 100,000 | $0.375 | A | 653,820 | D | |
| Common StockF1 | holding | — | — | — | 32,000 | I | See footnote | |
| Common StockF2 | holding | — | — | — | 32,000 | 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 | $0.375 | Aug 28, 2018 | M | 100,000 | D | — | Oct 6, 2021 | Common Stock | 100,000 | 268,000 | D |
Explanation of responses
- F1The 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.
- F2The 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.
- F3Shares subject to the option are fully vested and immediately exercisable.