Filing Details
- Accession Number:
- 0001538716-20-000150
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-02 17:13:23
- Reporting Period:
- 2020-09-30
- Accepted Time:
- 2020-10-02 17:13:23
- SEC Url:
- Form 4 Filing
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 Risk 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-09-30 | 847 | $0.00 | 48,971 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-01 | 297 | $11.66 | 48,674 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2020-09-30 | 847 | $0.00 | 847 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,693 | 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 $11.66 to $11.67 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 March 3, 2017 with 1/4 of the restricted stock units vesting on March 30, 2018 and the remainder vesting quarterly, to the continued service of the Reporting Person on each vesting date (the "Service and Vesting Requirement").
Billionaire Hedge Funds
