0001538716-20-000128.txt : 20200902 0001538716-20-000128.hdr.sgml : 20200902 20200902194315 ACCESSION NUMBER: 0001538716-20-000128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200831 FILED AS OF DATE: 20200902 DATE AS OF CHANGE: 20200902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COBLENTZ JONATHAN AARON CENTRAL INDEX KEY: 0001397972 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39050 FILM NUMBER: 201158045 MAIL ADDRESS: STREET 1: 23 WEST 73RD STREET STREET 2: APT 914 CITY: NEW YORK STATE: NY ZIP: 10023 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_159909017816692.xml FORM 4 X0306 4 2020-08-31 0 0001538716 Oportun Financial Corp OPRT 0001397972 COBLENTZ JONATHAN AARON OPORTUN FINANCIAL CORPORATION 2 CIRCLE STAR WAY SAN CARLOS CA 94070 0 1 0 0 CFO & Chief Admin Officer Common Stock 2020-08-31 4 M 0 9225 A 55185 D Common Stock 2020-08-31 4 S 0 3321 12.806 D 51864 D Common Stock 2020-08-31 4 M 0 853 A 52717 D Common Stock 2020-08-31 4 S 0 309 12.806 D 52408 D Common Stock 38172 I See footnote. Restricted Stock Units 2020-08-31 4 M 0 9225 0 D Common Stock 9225.0 18450 D Restricted Stock Units 2020-08-31 4 M 0 853 0 D Common Stock 853.0 852 D Each restricted stock unit represents the right to receive at settlement, one share of common stock. Represents shares of common stock sold to satisfy the Reporting Person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit. Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.715 to $12.97 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. These shares are held in the Jonathan A. Coblentz Revocable Trust U/A/D 3/31/2017 for which the Reporting Person is the Trustee. The restricted stock units vest over four years from August 30, 2018 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. The restricted stock units vest over four years from November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. /s/ Kathleen Layton (Attorney-in-Fact) 2020-09-02