Home > Insider Trading > Filing (0001538716-20-000120)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1538716	Oportun Financial Corp	OPRT	Finance Services (6199)	453361983

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1786293	Joan Aristei	Oportun Financial Corporation 2 Circle Star Way San Carlos CA 94070	Gc & Chief Compliance Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-08-31	6,290	$0.00	23,230	No	4	M	Direct
Common Stock	Disposition	2020-08-31	2,265	$12.80	20,965	No	4	S	Direct
Common Stock	Acquisiton	2020-08-31	284	$0.00	21,249	No	4	M	Direct
Common Stock	Disposition	2020-08-31	104	$12.80	21,145	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2020-08-31	6,290	$0.00	6,290	$0.00
Common Stock	Restricted Stock Units	Disposition	2020-08-31	284	$0.00	284	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
12,580			No	4	M	Direct
284			No	4	M	Direct

Footnotes

Each restricted stock unit represents the right to receive at settlement, one share of common stock.
Represents shares of common stock sold to satisfy the Reporting Person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit.
Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.75 to $12.97 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The restricted stock units vest over four years from August 30, 2018 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.
The restricted stock units vest over four years from November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.