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