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Nasdaq · USD

OPRT

Oportun Financial Corp

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5862
SEC CIK
0001538716
Parsed reports
396

Last 12 months

Inside the activity.

0 purchase rows · 10 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202607
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202603
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 02, 2021 Filed Aug 3, 2021 18:48 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 101 $21.08 $2,129.08
Disclosure

SEC source: 0001538716-21-000142 · wf-form4_162803087487465.xml · nonDerivative · entry 4

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,471

F2 · shares: 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.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:48 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 291 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000142 · wf-form4_162803087487465.xml · nonDerivative · entry 3

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,572

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:48 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 1,009 $21.08 $21,269.72
Disclosure

SEC source: 0001538716-21-000142 · wf-form4_162803087487465.xml · nonDerivative · entry 2

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,281

F2 · shares: 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.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:48 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 2,915 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000142 · wf-form4_162803087487465.xml · nonDerivative · entry 1

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,290

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 22:54 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 9,516 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000146 · wf-form4_162803127329929.xml · derivative · entry 4

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,516 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F4 · derivative.exercise_date: 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 on each vesting date.

F4 · derivative.expiration_date: 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 on each vesting date.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 22:54 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,719 $21.08 $99,476.52
Disclosure

SEC source: 0001538716-21-000146 · wf-form4_162803127329929.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,339

F2 · shares: 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.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 22:54 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 9,516 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000146 · wf-form4_162803127329929.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,058

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 22:51 UTC
Needham David AnthonyChief Product Officer
Exercise / conversionRestricted Stock Units · Derivative 1,944 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000144 · wf-form4_162803108264731.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,944 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F3 · derivative.exercise_date: 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 on each vesting date.

F3 · derivative.expiration_date: 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 on each vesting date.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 22:51 UTC
Needham David AnthonyChief Product Officer
Tax withholdingCommon Stock 673 $21.08 $14,186.84
Disclosure

SEC source: 0001538716-21-000144 · wf-form4_162803108264731.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,072

F2 · shares: 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.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 22:51 UTC
Needham David AnthonyChief Product Officer
Exercise / conversionCommon Stock 1,944 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000144 · wf-form4_162803108264731.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,745

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

Read SEC document
July 23, 2021 Filed Jul 26, 2021 22:01 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 3,500 $0.00 Strike: $1.87 $0.00
Disclosure

SEC source: 0001786250-21-000002 · wf-form4_162733681340490.xml · derivative · entry 4

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,378

Underlying: Common Stock · 3,500 shares

Expires 2022-12-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is fully vested.

Read SEC document
July 23, 2021 Filed Jul 26, 2021 22:01 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 8,638 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001786250-21-000002 · wf-form4_162733681340490.xml · derivative · entry 3

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,638 shares

Expires 2022-08-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is fully vested.

Read SEC document
July 23, 2021 Filed Jul 26, 2021 22:01 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 3,500 $1.87 $6,545.00
Disclosure

SEC source: 0001786250-21-000002 · wf-form4_162733681340490.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,677

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 23, 2021 Filed Jul 26, 2021 22:01 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 8,638 $1.32 $11,402.16
Disclosure

SEC source: 0001786250-21-000002 · wf-form4_162733681340490.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,177

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 30, 2021 Filed Jul 1, 2021 19:01 UTC GrantCommon Stock 843 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000133 · wf-form4_162518044478126.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,480

F1 · shares: 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 the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2026.

Read SEC document
June 30, 2021 Filed Jul 1, 2021 18:58 UTC GrantCommon Stock 781 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000131 · wf-form4_162518025078475.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,188

F1 · shares: 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.

Read SEC document
June 30, 2021 Filed Jul 1, 2021 18:54 UTC GrantCommon Stock 1,093 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000129 · wf-form4_162518005259842.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,837

F1 · shares: 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 equal annual installments over two years beginning on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2026.

Read SEC document
June 08, 2021 Filed Jun 10, 2021 17:16 UTC GrantCommon Stock 6,010 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000112 · wf-form4_162335976952665.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,637

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 8, 2021, December 8, 2021, March 8, 2022, and upon the earlier of (i) the date immediately preceding the Issuer's 2022 annual stockholder meeting or (ii) June 8, 2022, subject to the Reporting Person's continued service through such date.

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

Read SEC document
June 08, 2021 Filed Jun 10, 2021 17:03 UTC GrantCommon Stock 6,010 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000106 · wf-form4_162335896945503.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,407

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 8, 2021, December 8, 2021, March 8, 2022, and upon the earlier of (i) the date immediately preceding the Issuer's 2022 annual stockholder meeting or (ii) June 8, 2022, subject to the Reporting Person's continued service through such date.

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

Read SEC document
June 08, 2021 Filed Jun 10, 2021 20:57 UTC
ALVAREZ AIDADirector
GrantCommon Stock 6,010 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000104 · wf-form4_162335860660796.xml · nonDerivative · entry 1

ALVAREZ AIDA · CIK 0001268885 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,874

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 8, 2021, December 8, 2021, March 8, 2022, and upon the earlier of (i) the date immediately preceding the Issuer's 2022 annual stockholder meeting or (ii) June 8, 2022, subject to the Reporting Person's continued service through such date.

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

Read SEC document
June 08, 2021 Filed Jun 10, 2021 17:12 UTC GrantCommon Stock 7,513 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000110 · wf-form4_162335953407359.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,744

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 8, 2021, December 8, 2021, March 8, 2022, and upon the earlier of (i) the date immediately preceding the Issuer's 2022 annual stockholder meeting or (ii) June 8, 2022, subject to the Reporting Person's continued service through such date.

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

Read SEC document
June 08, 2021 Filed Jun 10, 2021 21:34 UTC GrantCommon Stock 6,010 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000117 · wf-form4_162336087628260.xml · nonDerivative · entry 1

Barefoot Jo Ann · CIK 0001786294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,874

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 8, 2021, December 8, 2021, March 8, 2022, and upon the earlier of (i) the date immediately preceding the Issuer's 2022 annual stockholder meeting or (ii) June 8, 2022, subject to the Reporting Person's continued service through such date.

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

Read SEC document
June 08, 2021 Filed Jun 10, 2021 21:07 UTC GrantCommon Stock 6,010 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000108 · wf-form4_162335924068633.xml · nonDerivative · entry 1

Miramontes Louis · CIK 0001739286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,874

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 8, 2021, December 8, 2021, March 8, 2022, and upon the earlier of (i) the date immediately preceding the Issuer's 2022 annual stockholder meeting or (ii) June 8, 2022, subject to the Reporting Person's continued service through such date.

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

Read SEC document
May 03, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 292 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · derivative · entry 8

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291

Underlying: Common Stock · 292 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F5 · derivative.exercise_date: 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 on each vesting date.

F5 · derivative.expiration_date: 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 on each vesting date.

Read SEC document
May 03, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionResricted Stock Units · Derivative 2,914 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · derivative · entry 7

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,915

Underlying: Common Stock · 2,914 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F5 · derivative.exercise_date: 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 on each vesting date.

F5 · derivative.expiration_date: 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 on each vesting date.

Read SEC document
May 03, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 101 $21.71 $2,192.71
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · nonDerivative · entry 6

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,375

F4 · shares: 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.

Read SEC document
May 03, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 292 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · nonDerivative · entry 5

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,476

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

Read SEC document
May 03, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 1,008 $21.71 $21,883.68
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · nonDerivative · entry 4

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,184

F4 · shares: 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.

Read SEC document
May 03, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 2,914 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · nonDerivative · entry 3

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,192

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

Read SEC document
May 03, 2021 Filed May 4, 2021 23:42 UTC
Needham David AnthonyChief Product Officer
Exercise / conversionRestricted Stock Units · Derivative 1,943 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000091 · wf-form4_162017171317033.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,944

Underlying: Common Stock · 1,943 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F3 · derivative.exercise_date: 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 on each vesting date.

F3 · derivative.expiration_date: 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 on each vesting date.

Read SEC document
May 03, 2021 Filed May 4, 2021 23:42 UTC
Needham David AnthonyChief Product Officer
Tax withholdingCommon Stock 672 $21.71 $14,589.12
Disclosure

SEC source: 0001538716-21-000091 · wf-form4_162017171317033.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,801

F2 · shares: 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.

Read SEC document
May 03, 2021 Filed May 4, 2021 23:42 UTC
Needham David AnthonyChief Product Officer
Exercise / conversionCommon Stock 1,943 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000091 · wf-form4_162017171317033.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,473

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

Read SEC document
May 03, 2021 Filed May 4, 2021 23:34 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 9,516 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000087 · wf-form4_162017123100049.xml · derivative · entry 4

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,516

Underlying: Common Stock · 9,516 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F4 · derivative.exercise_date: 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 on each vesting date.

F4 · derivative.expiration_date: 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 on each vesting date.

Read SEC document
May 03, 2021 Filed May 4, 2021 23:34 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,719 $21.71 $102,449.49
Disclosure

SEC source: 0001538716-21-000087 · wf-form4_162017123100049.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,542

F2 · shares: 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.

Read SEC document
May 03, 2021 Filed May 4, 2021 23:34 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 9,516 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000087 · wf-form4_162017123100049.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,261

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

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March 31, 2021 Filed Apr 1, 2021 17:43 UTC GrantCommon Stock 794 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000075 · wf-form4_161731334480251.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,627

F1 · shares: 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 the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2026.

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March 31, 2021 Filed Apr 1, 2021 17:54 UTC GrantCommon Stock 755 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000079 · wf-form4_161731402458109.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,397

F1 · shares: 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.

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March 31, 2021 Filed Apr 1, 2021 17:50 UTC GrantCommon Stock 993 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000077 · wf-form4_161731377798690.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,231

F1 · shares: 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 equal annual installments over two years beginning on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2026.

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March 30, 2021 Filed Mar 31, 2021 21:24 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionRestricted Stock Units · Derivative 114 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000073 · wf-form4_161722584308712.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 114 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F3 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2017 with twenty-five percent 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.

F3 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2017 with twenty-five percent 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.

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March 30, 2021 Filed Mar 31, 2021 21:24 UTC
Needham David AnthonyChief Technology Officer
Tax withholdingCommon Stock 40 $20.24 $809.60
Disclosure

SEC source: 0001538716-21-000073 · wf-form4_161722584308712.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,530

F2 · shares: 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.

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March 30, 2021 Filed Mar 31, 2021 21:24 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionCommon Stock 114 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000073 · wf-form4_161722584308712.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,570

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

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March 30, 2021 Filed Mar 31, 2021 21:21 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 847 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000071 · wf-form4_161722565927095.xml · derivative · entry 3

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 847 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F3 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2017 with twenty-five percent 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.

F3 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2017 with twenty-five percent 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.

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March 30, 2021 Filed Mar 31, 2021 21:21 UTC
Aristei JoanGC & Chief Risk Officer
Tax withholdingCommon Stock 293 $20.24 $5,930.32
Disclosure

SEC source: 0001538716-21-000071 · wf-form4_161722565927095.xml · nonDerivative · entry 2

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,681

F2 · shares: 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.

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March 30, 2021 Filed Mar 31, 2021 21:21 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionCommon Stock 847 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000071 · wf-form4_161722565927095.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,974

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

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March 25, 2021 Filed Mar 25, 2021 23:44 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 2,500 $19.75 $49,375.00
Disclosure

SEC source: 0001538716-21-000069 · wf-form4_161671584243597.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,539

F1 · shares: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/13/2020.

F2 · price: All shares were sold at the same price of $19.75.

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March 15, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GiftCommon Stock 9,023 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · nonDerivative · entry 2

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 120,054

F2 · ownership.nature: These shares are held in the Jonathan A. Coblentz Revocable Trust U/A/D 3/31/2017 for which the Reporting Person is the Trustee.

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March 15, 2021 Filed May 4, 2021 19:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GiftCommon Stock 9,023 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000089 · wf-form4_162017147815490.xml · nonDerivative · entry 1

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,278

F1 · shares: This transaction involved a transfer of securities by the Reporting Person to the Jonathan A. Coblentz Revocable Trust dated 3/31/17 for which the Reporting Person is the Trustee.

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March 10, 2021 Filed Mar 12, 2021 19:21 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GrantStock Option (Right to Buy) · Derivative 24,733 $0.00 Strike: $21.26 $0.00
Disclosure

SEC source: 0001538716-21-000067 · wf-form4_161559484061860.xml · derivative · entry 6

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,733

Underlying: Common Stock · 24,733 shares

Expires 2031-03-09

F6 · derivative.exercise_date: 1/4 of the option shall vest on March 10, 2022 and 1/36 of the remaining option shares shall vest monthly over three years, subject to the continued service of the Reporting Person on each vesting date.

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March 10, 2021 Filed Mar 12, 2021 19:21 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 7,894 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000067 · wf-form4_161559484061860.xml · derivative · entry 5

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,685

Underlying: Common Stock · 7,894 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

F5 · derivative.exercise_date: 1/4 of the restricted stock units vested on March 10, 2021 and 1/4 of the restricted stock units vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

F5 · derivative.expiration_date: 1/4 of the restricted stock units vested on March 10, 2021 and 1/4 of the restricted stock units vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

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March 10, 2021 Filed Mar 12, 2021 19:21 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GrantCommon Stock 14,112 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000067 · wf-form4_161559484061860.xml · nonDerivative · entry 3

COBLENTZ JONATHAN AARON · CIK 0001397972 · CFO & Chief Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,301

F3 · shares: 1/4 of the restricted stock units shall vest on March 10, 2022 and 1/4 of the restricted stock units shall vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

F1 · price: Each restricted stock unit represents the right to receive at settlement, one share of common stock.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.