0001538716-21-000063.txt : 20210312 0001538716-21-000063.hdr.sgml : 20210312 20210312191408 ACCESSION NUMBER: 0001538716-21-000063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210312 DATE AS OF CHANGE: 20210312 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: 21739327 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_161559442375383.xml FORM 4 X0306 4 2021-03-10 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 2021-03-10 4 M 0 23026 A 337764 D Common Stock 2021-03-10 4 F 0 9177 21.26 D 328587 D Common Stock 2021-03-10 4 A 0 41158 A 369745 D Common Stock 172864 I See footnote Resricted Stock Units 2021-03-10 4 M 0 23026 0 D Common Stock 23026.0 69080 D Stock Option (Right to Buy) 21.26 2021-03-10 4 A 0 72136 21.26 A 2031-03-09 Common Stock 72136.0 72136 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. 1/4 of the restricted stock units shall vest on March 10, 2022 and 1/4 of the restricted stock units shall vest annually over three years, subject to the continued service of the Reporting Person on each vesting date. These shares are held in a family trust for which the Reporting Person is the Trustee. 1/4 of the restricted stock units vested on March 10, 2021 and 1/4 of the restricted stock units vest annually over three years, subject to the continued service of the Reporting Person on each vesting date. 1/4 of the option shall vest on March 10, 2022 and 1/36 of the remaining option shares shall vest monthly over three years, subject to the continued service of the Reporting Person on each vesting date. /s/ Kathleen Layton (Attorney-in-Fact) 2021-03-12