0001538716-20-000126.txt : 20200902 0001538716-20-000126.hdr.sgml : 20200902 20200902194032 ACCESSION NUMBER: 0001538716-20-000126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200831 FILED AS OF DATE: 20200902 DATE AS OF CHANGE: 20200902 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: 201158041 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_159909001293774.xml FORM 4 X0306 4 2020-08-31 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 2020-08-31 4 M 0 5870 A 21748 D Common Stock 2020-08-31 4 S 0 2115 12.8056 D 19633 D Common Stock 2020-08-31 4 M 0 341 A 19974 D Common Stock 2020-08-31 4 S 0 123 12.8056 D 19851 D Restricted Stock Units 2020-08-31 4 M 0 5870 0 D Common Stock 5870.0 11742 D Restricted Stock Units 2020-08-31 4 M 0 341 0 D Common Stock 341.0 341 D Each restricted stock unit represents the right to receive at settlement, one share of common stock. Represents shares of common stock sold to satisfy the Reporting Person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit. Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.73 to $12.98 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. 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. 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. /s/ Kathleen Layton (Attorney-in-Fact) 2020-09-02