Oportun Financial Corp — Director's Dealing 2021

Jan 6, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Oportun Financial Corp (OPRT)
CIK: 0001538716
Period of Report: 2020-12-31

Reporting Person: STROHM DAVID N (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-14	Common Stock	G	239679	—	Disposed	271160	Indirect
2020-12-31	Common Stock	A	807	—	Acquired	17642	Direct

Footnotes

F1: This transaction involved a gift of securities by the Reporting Person to trusts for the benefit of his children and the offspring of his children. The Reporting Person is not a trustee of such trusts and has no pecuniary interest or investment discretion.

F2: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

F3: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on January 30 of the calendar year following the Reporting Person's separation of service from the Issuer.