Oportun Financial Corp — Director's Dealing 2021

Feb 4, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Oportun Financial Corp (OPRT)
CIK: 0001538716
Period of Report: 2021-02-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-14	Common Stock	G	172864	—	Disposed	297202	Direct
2021-02-01	Common Stock	M	9516	—	Acquired	306718	Direct
2021-02-01	Common Stock	F	3656	$16.22	Disposed	303062	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-01	Restricted Stock Units	$	M	9516	Disposed		Common Stock (9516.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	172864	Indirect

Footnotes

F1: This transaction involved a transfer of securities by the Reporting Person to a family trust for which the Reporting Person is the Trustee.

F2: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F3: 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.

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

F5: 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 with the Issuer on each vesting date.