Oportun Financial Corp — Director's Dealing 2021

Mar 13, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Oportun Financial Corp (OPRT)
CIK: 0001538716
Period of Report: 2021-03-10

Reporting Person: Vazquez Raul (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-10	Common Stock	M	23026	—	Acquired	337764	Direct
2021-03-10	Common Stock	F	9177	$21.26	Disposed	328587	Direct
2021-03-10	Common Stock	A	41158	—	Acquired	369745	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-10	Resricted Stock Units	$	M	23026	Disposed		Common Stock (23026.0)	Direct
2021-03-10	Stock Option (Right to Buy)	$21.26	A	72136	Acquired	2031-03-09	Common Stock (72136.0)	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: 1/4 of the restricted stock units shall vest on March 10, 2022 and 1/4 of the restricted stock units shall vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

F4: These shares are held in a family trust for which the Reporting Person is the Trustee.

F5: 1/4 of the restricted stock units vested on March 10, 2021 and 1/4 of the restricted stock units vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

F6: 1/4 of the option shall vest on March 10, 2022 and 1/36 of the remaining option shares shall vest monthly over three years, subject to the continued service of the Reporting Person on each vesting date.