Oportun Financial Corp — Director's Dealing 2021

Aug 31, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Oportun Financial Corp (OPRT)
CIK: 0001538716
Period of Report: 2021-08-27

Reporting Person: COBLENTZ JONATHAN AARON (CFO & Chief Admin Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-27	Common Stock	M	2038	$1.32	Acquired	63509	Direct
2021-08-27	Common Stock	S	2038	$25.50	Disposed	61471	Direct
2021-08-30	Common Stock	M	8362	$1.32	Acquired	69833	Direct
2021-08-30	Common Stock	S	8362	$25.50	Disposed	61471	Direct
2021-08-30	Common Stock	M	9225	—	Acquired	70696	Direct
2021-08-30	Common Stock	F	4489	$24.86	Disposed	66207	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-27	Stock Option (Right to Buy)	$1.32	M	2038	Disposed	2022-08-01	Common Stock (2038.0)	Direct
2021-08-27	Stock Option (Right to Buy)	$1.32	M	8362	Disposed	2022-08-01	Common Stock (8362.0)	Direct
2021-08-30	Restricted Stock Units	$	M	9225	Disposed		Common Stock (9225.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	120054	Indirect

Footnotes

F1: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/8/2020.

F2: All shares were sold at the same price.

F3: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F4: 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.

F5: These shares are held in the Jonathan A. Coblentz Revocable Trust U/A/D 3/31/2017 for which the Reporting Person is the Trustee.

F6: The option is fully vested.

F7: The restricted stock units will vest over four years from August 30, 2018 with 1/4 of the shares vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.