0001538716-21-000009.txt : 20210105
0001538716-21-000009.hdr.sgml : 20210105
20210105190911
ACCESSION NUMBER: 0001538716-21-000009
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210105
DATE AS OF CHANGE: 20210105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STROHM DAVID N
CENTRAL INDEX KEY: 0001182820
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 21508141
MAIL ADDRESS:
STREET 1: EMC CORPORATION
STREET 2: 176 SOUTH STREET
CITY: HOPKINTON
STATE: MA
ZIP: 01748
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Oportun Financial Corp
CENTRAL INDEX KEY: 0001538716
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 453361983
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2 CIRCLE STAR WAY
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: (650) 810-8823
MAIL ADDRESS:
STREET 1: 2 CIRCLE STAR WAY
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
FORMER COMPANY:
FORMER CONFORMED NAME: Progreso Financiero Holdings, Inc.
DATE OF NAME CHANGE: 20120104
4
1
wf-form4_160989173745188.xml
FORM 4
X0306
4
2020-12-31
0
0001538716
Oportun Financial Corp
OPRT
0001182820
STROHM DAVID N
C/O OPORTUN FINANCIAL CORPORATION
2 CIRCLE STAR WAY
SAN CARLOS
CA
94070
1
0
0
0
Common Stock
2020-12-14
5
G
0
E
239679
0
D
271160
I
See footnote
Common Stock
2020-12-31
4
A
0
807
0
A
17642
D
This transaction involved a gift of securities by the Reporting Person to trusts for the benefit of his children and the offspring of his children. The Reporting Person is not a trustee of such trusts and has no pecuniary interest or investment discretion.
The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.
The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on January 30 of the calendar year following the Reporting Person's separation of service from the Issuer.
/s/ Kathleen Layton (Attorney-in-Fact)
2021-01-05