Form Type: 4

SEC EDGAR Link
Accession Number:0001538716-23-000049
Date:2023-03-10
Issuer: OPORTUN FINANCIAL CORP (OPRT)
Original Submission Date:

Reporting Person:

VAZQUEZ RAUL
OPORTUN FINANCIAL CORPORATION
2 CIRCLE STAR WAY SAN CARLOS, CA 94070

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2023-03-10 M 23,026 a $0.00 988,463 direct
COMMON STOCK 2023-03-10 F 7,963 d $4.32 980,500 direct
COMMON STOCK 2023-03-10 F 3,559 d $4.32 976,941 direct
COMMON STOCK 2023-03-10 F 17,114 d $4.32 959,827 direct
COMMON STOCK 2023-03-10 0 $0.00 233,709 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESRICTED STOCK UNITS 0.0 2023-03-10 deemed execution date M 23,026 (d) common stock 23,026 $0.00 23,027 direct
Footnotes
IDfootnote
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 obligations in connection with the vesting of previously reported restricted stock units.
f3 these shares are held in a family trust for which the reporting person is the trustee.
f4 the restricted stock units vest over four years from march 10, 2020 with 1/4 of the restricted stock units vesting annually on each anniversary date, provided that the reporting person remains in continuous service to the issuer on each vesting date.
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