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Oportun Financial Corp — Director's Dealing 2021
Aug 4, 2021
33411_dirs_2021-08-03_b05c0885-6063-43e6-beb3-40ea2653b5e7.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: 2021-08-02
Reporting Person: Vazquez Raul (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-02 | Common Stock | M | 9516 | — | Acquired | 384058 | Direct |
| 2021-08-02 | Common Stock | F | 4719 | $21.08 | Disposed | 379339 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-08-02 | Restricted Stock Units | $ | M | 9516 | Disposed | Common Stock (9516.0) | 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 two years from August 1, 2019 with fifty percent vesting on the first anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service on each vesting date.