0001538716-20-000110.txt : 20200805 0001538716-20-000110.hdr.sgml : 20200805 20200805172304 ACCESSION NUMBER: 0001538716-20-000110 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200803 FILED AS OF DATE: 20200805 DATE AS OF CHANGE: 20200805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Needham David Anthony CENTRAL INDEX KEY: 0001786953 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39050 FILM NUMBER: 201078676 MAIL ADDRESS: STREET 1: 2 CIRCLE STAR WAY CITY: SAN CARLOS STATE: CA ZIP: 94070 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_159666256974888.xml FORM 4 X0306 4 2020-08-03 0 0001538716 Oportun Financial Corp OPRT 0001786953 Needham David Anthony OPORTUN FINANCIAL CORPORATION 2 CIRCLE STAR WAY SAN CARLOS CA 94070 0 1 0 0 Chief Technology Officer Common Stock 2020-08-03 4 M 0 7772 A 18733 D Common Stock 2020-08-03 4 S 0 2855 13.4627 D 15878 D Restricted Stock Units 2020-08-03 4 M 0 7772 0 D Common Stock 7772.0 7773 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 purchased in multiple transactions at prices ranging from $13.29 to $13.68 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 purchased at each separate price within the range set forth in this footnote. The restricted stock units will vest over two years from August 1, 2019 with fifty percent vesting on the first anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service on each vesting date. /s/ Kathleen Layton (Attorney-in-Fact) 2020-08-04