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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

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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
November 02, 2020 Filed Nov 5, 2020 00:29 UTC
Needham David AnthonyChief Technology Officer
Tax withholdingCommon Stock 672 $13.30 $8,937.60
Disclosure

SEC source: 0001538716-20-000166 · wf-form4_160453615279660.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,174

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
November 02, 2020 Filed Nov 5, 2020 00:29 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionCommon Stock 1,943 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000166 · wf-form4_160453615279660.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,846

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
November 02, 2020 Filed Nov 5, 2020 00:05 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 9,516 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000161 · wf-form4_160453473612503.xml · derivative · entry 3

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,548

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.

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
November 02, 2020 Filed Nov 5, 2020 00:05 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,719 $13.30 $62,762.70
Disclosure

SEC source: 0001538716-20-000161 · wf-form4_160453473612503.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 468,233

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
November 02, 2020 Filed Nov 5, 2020 00:05 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 9,516 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000161 · wf-form4_160453473612503.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 472,952

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
October 01, 2020 Filed Oct 2, 2020 21:20 UTC
Needham David AnthonyChief Technology Officer
SaleCommon Stock 40 $11.63 $465.19
Disclosure

SEC source: 0001538716-20-000156 · wf-form4_160167359913349.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,903

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $11.6001 to $11.65 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.

Read SEC document
October 01, 2020 Filed Oct 2, 2020 21:13 UTC
Aristei JoanGC & Chief Risk Officer
SaleCommon Stock 297 $11.66 $3,463.05
Disclosure

SEC source: 0001538716-20-000150 · wf-form4_160167318902652.xml · nonDerivative · entry 2

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,674

F2 · shares: 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.

F3 · price: 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.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 17:17 UTC GrantCommon Stock 1,379 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000154 · wf-form4_160167345934893.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,994

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, 2025.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 17:11 UTC GrantCommon Stock 1,326 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000148 · wf-form4_160167306242643.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,835

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
September 30, 2020 Filed Oct 2, 2020 17:15 UTC GrantCommon Stock 1,697 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000152 · wf-form4_160167333460602.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,205

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, 2025.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 21:20 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionRestricted Stock Units · Derivative 113 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000156 · wf-form4_160167359913349.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228

Underlying: Common Stock · 113 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: TThe 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").

F4 · derivative.expiration_date: TThe 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").

Read SEC document
September 30, 2020 Filed Oct 2, 2020 21:20 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionCommon Stock 113 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000156 · wf-form4_160167359913349.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,943

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
September 30, 2020 Filed Oct 2, 2020 21:13 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 847 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000150 · wf-form4_160167318902652.xml · derivative · entry 3

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,693

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.

F4 · derivative.exercise_date: 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").

F4 · derivative.expiration_date: 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").

Read SEC document
September 30, 2020 Filed Oct 2, 2020 21:13 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionCommon Stock 847 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000150 · wf-form4_160167318902652.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,971

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
September 10, 2020 Filed Sep 14, 2020 21:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GrantCommon Stock 43,166 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000136 · wf-form4_160013391128810.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,574

F1 · shares: The restricted stock units will vest over four years from September 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.

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

Read SEC document
September 10, 2020 Filed Sep 15, 2020 01:49 UTC
Kirscht PatrickChief Credit Officer
GrantCommon Stock 53,957 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000146 · wf-form4_160013455746832.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,400

F1 · shares: The restricted stock units will vest over four years from September 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.

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

Read SEC document
September 10, 2020 Filed Sep 15, 2020 01:47 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
GrantCommon Stock 39,569 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000144 · wf-form4_160013443791731.xml · nonDerivative · entry 1

Jenkins Matthew Wayne · CIK 0001786952 · COO & GM, Personal-Auto Loans

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,935

F1 · shares: The restricted stock units will vest over four years from September 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.

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

Read SEC document
September 10, 2020 Filed Sep 15, 2020 01:45 UTC
Needham David AnthonyChief Technology Officer
GrantCommon Stock 26,979 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000142 · wf-form4_160013431860445.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,830

F1 · shares: The restricted stock units will vest over four years from September 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.

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

Read SEC document
September 10, 2020 Filed Sep 15, 2020 01:43 UTC
Aristei JoanGC & Chief Risk Officer
GrantCommon Stock 26,979 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000140 · wf-form4_160013419839906.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,124

F1 · shares: The restricted stock units will vest over four years from September 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.

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

Read SEC document
September 10, 2020 Filed Sep 15, 2020 01:40 UTC
Vazquez RaulDirector · Chief Executive Officer
GrantCommon Stock 125,900 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000138 · wf-form4_160013404052228.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 463,436

F1 · shares: The restricted stock units will vest over four years from September 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.

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

Read SEC document
September 02, 2020 Filed Sep 2, 2020 23:45 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 3,909 $12.25 $47,876.26
Disclosure

SEC source: 0001538716-20-000130 · wf-form4_159909033148006.xml · nonDerivative · entry 5

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,443

F4 · shares: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/13/2019.

F5 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.15 to $12.48 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 19:43 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 853 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000128 · wf-form4_159909017816692.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 852

Underlying: Common Stock · 853 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.

F6 · derivative.exercise_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.

F6 · derivative.expiration_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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 19:43 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 9,225 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000128 · wf-form4_159909017816692.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,450

Underlying: Common Stock · 9,225 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: 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.

F5 · derivative.expiration_date: 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 19:43 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
SaleCommon Stock 309 $12.81 $3,957.05
Disclosure

SEC source: 0001538716-20-000128 · wf-form4_159909017816692.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,408

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.715 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 19:43 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 853 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000128 · wf-form4_159909017816692.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,717

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 31, 2020 Filed Sep 2, 2020 19:43 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
SaleCommon Stock 3,321 $12.81 $42,528.73
Disclosure

SEC source: 0001538716-20-000128 · wf-form4_159909017816692.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,864

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.715 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 19:43 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 9,225 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000128 · wf-form4_159909017816692.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,185

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 31, 2020 Filed Sep 2, 2020 23:45 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionRestricted Stock Units · Derivative 1,136 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000130 · wf-form4_159909033148006.xml · derivative · entry 7

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,136

Underlying: Common Stock · 1,136 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.

F7 · derivative.exercise_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.

F7 · derivative.expiration_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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:45 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionRestricted Stock Units · Derivative 12,580 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000130 · wf-form4_159909033148006.xml · derivative · entry 6

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,159

Underlying: Common Stock · 12,580 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.

F6 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:45 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 411 $12.81 $5,263.72
Disclosure

SEC source: 0001538716-20-000130 · wf-form4_159909033148006.xml · nonDerivative · entry 4

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,352

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.70 to $13.02 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:45 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 1,136 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000130 · wf-form4_159909033148006.xml · nonDerivative · entry 3

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,763

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 31, 2020 Filed Sep 2, 2020 23:45 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 4,516 $12.09 $54,585.34
Disclosure

SEC source: 0001538716-20-000130 · wf-form4_159909033148006.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,627

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.70 to $13.02 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:45 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 12,580 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000130 · wf-form4_159909033148006.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,143

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 31, 2020 Filed Sep 2, 2020 23:40 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionRestricted Stock Units · Derivative 341 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · derivative · entry 6

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341

Underlying: Common Stock · 341 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: 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.

F5 · derivative.expiration_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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionRestricted Stock Units · Derivative 5,870 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · derivative · entry 5

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,742

Underlying: Common Stock · 5,870 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 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.

F4 · derivative.expiration_date: 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC
Needham David AnthonyChief Technology Officer
SaleCommon Stock 123 $12.81 $1,575.09
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 4

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,851

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.73 to $12.98 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionCommon Stock 341 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,974

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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC
Needham David AnthonyChief Technology Officer
SaleCommon Stock 2,115 $12.81 $27,083.84
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,633

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.73 to $12.98 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionCommon Stock 5,870 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,748

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 31, 2020 Filed Sep 2, 2020 23:37 UTC
Jenkins Matthew WayneCOO & G.M. Personal Loans
Exercise / conversionRestricted Stock Units · Derivative 10,484 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000124 · wf-form4_159908985319100.xml · derivative · entry 3

Jenkins Matthew Wayne · CIK 0001786952 · COO & G.M. Personal Loans

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,966

Underlying: Common Stock · 10,484 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 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.

F4 · derivative.expiration_date: 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:37 UTC
Jenkins Matthew WayneCOO & G.M. Personal Loans
SaleCommon Stock 2,658 $12.81 $34,042.34
Disclosure

SEC source: 0001538716-20-000124 · wf-form4_159908985319100.xml · nonDerivative · entry 2

Jenkins Matthew Wayne · CIK 0001786952 · COO & G.M. Personal Loans

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,366

F2 · shares: 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.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.72 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:37 UTC
Jenkins Matthew WayneCOO & G.M. Personal Loans
Exercise / conversionCommon Stock 10,484 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000124 · wf-form4_159908985319100.xml · nonDerivative · entry 1

Jenkins Matthew Wayne · CIK 0001786952 · COO & G.M. Personal Loans

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,024

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 31, 2020 Filed Sep 2, 2020 23:35 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,636 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000122 · wf-form4_159908969306829.xml · derivative · entry 6

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,636

Underlying: Common Stock · 3,636 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 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.

F4 · derivative.expiration_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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:35 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 29,353 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000122 · wf-form4_159908969306829.xml · derivative · entry 5

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,705

Underlying: Common Stock · 29,353 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 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.

F3 · derivative.expiration_date: 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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:35 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 1,803 $13.33 $24,033.99
Disclosure

SEC source: 0001538716-20-000122 · wf-form4_159908969306829.xml · nonDerivative · entry 4

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,536

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 31, 2020 Filed Sep 2, 2020 23:35 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 3,636 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000122 · wf-form4_159908969306829.xml · nonDerivative · entry 3

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,339

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 31, 2020 Filed Sep 2, 2020 23:35 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 14,554 $13.33 $194,004.82
Disclosure

SEC source: 0001538716-20-000122 · wf-form4_159908969306829.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,703

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 31, 2020 Filed Sep 2, 2020 23:35 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 29,353 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000122 · wf-form4_159908969306829.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,257

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 31, 2020 Filed Sep 2, 2020 23:31 UTC
Aristei JoanGC & Chief Compliance Officer
Exercise / conversionRestricted Stock Units · Derivative 284 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000120 · wf-form4_159908949734166.xml · derivative · entry 6

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284

Underlying: Common Stock · 284 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: 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.

F5 · derivative.expiration_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.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:31 UTC
Aristei JoanGC & Chief Compliance Officer
Exercise / conversionRestricted Stock Units · Derivative 6,290 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000120 · wf-form4_159908949734166.xml · derivative · entry 5

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,580

Underlying: Common Stock · 6,290 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 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.

F4 · derivative.expiration_date: 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.

Read SEC document

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