0001786953-20-000006.txt : 20200326 0001786953-20-000006.hdr.sgml : 20200326 20200326202451 ACCESSION NUMBER: 0001786953-20-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200324 FILED AS OF DATE: 20200326 DATE AS OF CHANGE: 20200326 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: 20747600 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_158526867246994.xml FORM 4 X0306 4 2020-03-24 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 2020-03-24 4 M 0 4431 A 8893 D Common Stock 2020-03-24 4 F 0 1534 11.50 D 7359 D Common Stock 2020-03-24 4 M 0 1249 A 8608 D Common Stock 2020-03-24 4 F 0 437 11.50 D 8171 D Common Stock 2020-03-24 4 M 0 5870 A 14041 D Common Stock 2020-03-24 4 F 0 2030 11.50 D 12011 D Restricted Stock Units 2020-03-24 4 M 0 4431 0 D Common Stock 4431.0 1023 D Restricted Stock Units 2020-03-24 4 M 0 1249 0 D Common Stock 1249.0 569 D Restricted Stock Units 2020-03-24 4 M 0 5870 0 D Common Stock 5870.0 17612 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 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 (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares 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. The restricted stock units vest over four years from March 3, 2017 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. In addition to the Service and Vesting Requirement, the shares 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. 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. In addition to the Service and Vesting Requirement, the shares 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) 2020-03-26