0001251447-20-000003.txt : 20200326 0001251447-20-000003.hdr.sgml : 20200326 20200326202649 ACCESSION NUMBER: 0001251447-20-000003 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: PASCARELLA CARL CENTRAL INDEX KEY: 0001251447 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39050 FILM NUMBER: 20747603 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_158526879169971.xml FORM 4 X0306 4 2020-03-24 0 0001538716 Oportun Financial Corp OPRT 0001251447 PASCARELLA CARL C/O OPORTUN FINANCIAL CORPORATION 2 CIRCLE STAR WAY SAN CARLOS CA 94070 1 0 0 0 Common Stock 2020-03-24 4 M 0 2677 A 114720 D Restricted Stock Units 2020-03-24 4 M 0 2677 0 D Common Stock 2677.0 892 D Each restricted stock unit represents the right to receive, at settlement, one share of common stock. The restricted stock units vest quarterly over one year from June 6, 2019, 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. /s/ Kathleen Layton (Attorney-in-Fact) 2020-03-26