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