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Oportun Financial Corp — Director's Dealing 2021
Aug 31, 2021
33411_dirs_2021-08-31_b82e9aef-8e99-4265-8b09-03c26b87c1e2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Oportun Financial Corp (OPRT)
CIK: 0001538716
Period of Report: 2021-08-30
Reporting Person: Vazquez Raul (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-30 | Common Stock | M | 29352 | — | Acquired | 408691 | Direct |
| 2021-08-30 | Common Stock | F | 14553 | $24.86 | Disposed | 394138 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-08-30 | Restricted Stock Units | $ | M | 29352 | Disposed | Common Stock (29352.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 172864 | Indirect |
Footnotes
F1: Each restricted stock unit represents the right to receive at settlement, one share of common stock.
F2: No shares were sold - these shares were withheld by the Issuer to satisfy tax withholding requirements in connection with the vesting of restricted stock units.
F3: These shares are held in a family trust for which the Reporting Person is the Trustee.
F4: The restricted stock units vest over four years from August 30, 2018 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.