Filing Details

Accession Number:
0001538716-20-000051
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-06-02 19:18:47
Reporting Period:
2020-06-01
Accepted Time:
2020-06-02 19:18:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1538716 Oportun Financial Corp OPRT Finance Services (6199) 453361983
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1786293 Joan Aristei Oportun Financial Corporation
2 Circle Star Way
San Carlos CA 94070
Gc & Chief Compliance Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-06-01 284 $0.00 16,485 No 4 M Direct
Common Stock Disposition 2020-06-01 94 $10.14 16,391 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2020-06-01 284 $0.00 284 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
568 No 4 M Direct
Footnotes
  1. Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
  2. 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.
  3. 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, 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 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.