0001538716-20-000126.txt : 20200902
0001538716-20-000126.hdr.sgml : 20200902
20200902194032
ACCESSION NUMBER: 0001538716-20-000126
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: Needham David Anthony
CENTRAL INDEX KEY: 0001786953
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 201158041
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_159909001293774.xml
FORM 4
X0306
4
2020-08-31
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
2020-08-31
4
M
0
5870
A
21748
D
Common Stock
2020-08-31
4
S
0
2115
12.8056
D
19633
D
Common Stock
2020-08-31
4
M
0
341
A
19974
D
Common Stock
2020-08-31
4
S
0
123
12.8056
D
19851
D
Restricted Stock Units
2020-08-31
4
M
0
5870
0
D
Common Stock
5870.0
11742
D
Restricted Stock Units
2020-08-31
4
M
0
341
0
D
Common Stock
341.0
341
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 $12.73 to $12.98 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.
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