0001538716-21-000163.txt : 20210831 0001538716-21-000163.hdr.sgml : 20210831 20210831175620 ACCESSION NUMBER: 0001538716-21-000163 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210830 FILED AS OF DATE: 20210831 DATE AS OF CHANGE: 20210831 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: 211228037 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_163044696538988.xml FORM 4 X0306 4 2021-08-30 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 2021-08-30 4 M 0 29352 A 408691 D Common Stock 2021-08-30 4 F 0 14553 24.86 D 394138 D Common Stock 172864 I See footnote Restricted Stock Units 2021-08-30 4 M 0 29352 0 D Common Stock 29352.0 29353 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. These shares are held in a family trust for which the Reporting Person is the Trustee. The restricted stock units vest over four years from August 30, 2018 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. /s/ Kathleen Layton (Attorney-in-Fact) 2021-08-31