0001786293-20-000008.txt : 20200331
0001786293-20-000008.hdr.sgml : 20200331
20200331183217
ACCESSION NUMBER: 0001786293-20-000008
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200330
FILED AS OF DATE: 20200331
DATE AS OF CHANGE: 20200331
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Aristei Joan
CENTRAL INDEX KEY: 0001786293
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 20763220
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_158569391970836.xml
FORM 4
X0306
4
2020-03-30
0
0001538716
Oportun Financial Corp
OPRT
0001786293
Aristei Joan
OPORTUN FINANCIAL CORPORATION
2 CIRCLE STAR WAY
SAN CARLOS
CA
94070
0
1
0
0
GC & Chief Compliance Officer
Common Stock
2020-03-30
4
M
0
847
A
17922
D
Common Stock
2020-03-30
4
F
0
293
11.55
D
17629
D
Restricted Stock Units
2020-03-30
4
M
0
847
0
D
Common Stock
847.0
3386
D
Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
The restricted stock units vest over four years from March 3, 2017 with 1/4 of the restricted stock units vesting on March 30, 2018 and the remainder vesting quarterly, subject to the continued service of the Reporting Person on each vesting date ("the "Service and Vesting Requirement"). 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)
2020-03-31