0001538716-20-000049.txt : 20200602 0001538716-20-000049.hdr.sgml : 20200602 20200602191519 ACCESSION NUMBER: 0001538716-20-000049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200601 FILED AS OF DATE: 20200602 DATE AS OF CHANGE: 20200602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vazquez Raul CENTRAL INDEX KEY: 0001578544 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39050 FILM NUMBER: 20938577 MAIL ADDRESS: STREET 1: 500 STAPLES DR. CITY: FRAMINGHAM STATE: MA ZIP: 01702 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_159113970158598.xml FORM 4 X0306 4 2020-06-01 0 0001538716 Oportun Financial Corp OPRT 0001578544 Vazquez Raul OPORTUN FINANCIAL CORPORATION 2 CIRCLE STAR WAY SAN CARLOS CA 94070 1 1 0 0 Chief Executive Officer Common Stock 2020-06-01 4 M 0 3637 A 303518 D Common Stock 2020-06-01 4 F 0 1804 9.65 D 301714 D Restricted Stock Units 2020-06-01 4 M 0 3637 0 D Common Stock 3637.0 7272 D Each restricted stock unit represents the right to receive, at settlement, one share of common stock. No shares were sold - these shares were withheld by the Issuer to satisfy tax withholding requirements in connection with the vesting of restricted stock units. 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, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first. /s/ Kathleen Layton (Attorney-in-Fact) 2020-06-02