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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
June 01, 2020 Filed Jun 2, 2020 23:27 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 372 $10.22 $3,800.05
Disclosure

SEC source: 0001538716-20-000055 · wf-form4_159114042810749.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,563

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 $10.15 to $10.23 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
June 01, 2020 Filed Jun 2, 2020 23:27 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 1,137 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000055 · wf-form4_159114042810749.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,935

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
June 01, 2020 Filed Jun 2, 2020 23:18 UTC
Aristei JoanGC & Chief Compliance Officer
Exercise / conversionRestricted Stock Units · Derivative 284 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000051 · wf-form4_159113990748723.xml · derivative · entry 3

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 568

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.

F3 · 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, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F3 · 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, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

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June 01, 2020 Filed Jun 2, 2020 23:18 UTC
Aristei JoanGC & Chief Compliance Officer
SaleCommon Stock 94 $10.14 $953.16
Disclosure

SEC source: 0001538716-20-000051 · wf-form4_159113990748723.xml · nonDerivative · entry 2

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,391

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.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 23:18 UTC
Aristei JoanGC & Chief Compliance Officer
Exercise / conversionCommon Stock 284 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000051 · wf-form4_159113990748723.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,485

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
June 01, 2020 Filed Jun 2, 2020 23:15 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,637 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000049 · wf-form4_159113970158598.xml · derivative · entry 3

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,272

Underlying: Common Stock · 3,637 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 November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F3 · 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, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 23:15 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 1,804 $9.65 $17,408.60
Disclosure

SEC source: 0001538716-20-000049 · wf-form4_159113970158598.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,714

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
June 01, 2020 Filed Jun 2, 2020 23:15 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 3,637 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000049 · wf-form4_159113970158598.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,518

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 28, 2020 Filed May 29, 2020 00:06 UTC
Vazquez RaulDirector · Chief Executive Officer
PurchaseCommon Stock 38,663 $9.91 $383,173.53
Disclosure

SEC source: 0001538716-20-000047 · wf-form4_159071076724491.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,881

F2 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.49 to $10.00 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 27, 2020 Filed May 29, 2020 00:06 UTC
Vazquez RaulDirector · Chief Executive Officer
PurchaseCommon Stock 12,650 $9.23 $116,792.39
Disclosure

SEC source: 0001538716-20-000047 · wf-form4_159071076724491.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,218

F1 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.06 to $9.50 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 26, 2020 Filed May 27, 2020 01:46 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 6,066 $8.64 $52,430.86
Disclosure

SEC source: 0001786250-20-000010 · wf-form4_159054398923337.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,798

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/13/2019.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $8.475 to $8.785 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
May 20, 2020 Filed May 20, 2020 21:40 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
SaleCommon Stock 1,903 $7.43 $14,137.20
Disclosure

SEC source: 0001397972-20-000014 · wf-form4_159002521678851.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,325

F1 · shares: As reported on the March 4, 2020 Form 4, shares from the March 3, 2020 release were delivered to the Reporting Person on May 19, 2020. This amount has been adjusted for the sale of shares to cover applicable taxes.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.39 to $7.465 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
May 20, 2020 Filed May 21, 2020 01:35 UTC
Jenkins Matthew WayneCOO & G.M. Personal Loans
SaleCommon Stock 1,338 $7.44 $9,958.73
Disclosure

SEC source: 0001786952-20-000007 · wf-form4_159002494242158.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,540

F1 · shares: As reported on the March 4, 2020 Form 4, shares from the March 3, 2020 release were delivered to the Reporting Person on May 19, 2020. This amount has been adjusted for the sale of shares to cover applicable taxes.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.40 to $7.47 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
May 20, 2020 Filed May 21, 2020 01:34 UTC
Aristei JoanGC & Chief Compliance Officer
SaleCommon Stock 1,428 $7.43 $10,605.61
Disclosure

SEC source: 0001786293-20-000009 · wf-form4_159002484016268.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,201

F1 · shares: As reported on the March 4, 2020 Form 4, shares from the March 3, 2020 release were delivered to the Reporting Person on May 19, 2020. This amount has been adjusted for the sale of shares to cover applicable taxes.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.39 to $7.47 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
May 20, 2020 Filed May 21, 2020 01:33 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 2,858 $7.42 $21,204.65
Disclosure

SEC source: 0001786250-20-000008 · wf-form4_159002479481480.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,864

F1 · shares: As reported on the March 4, 2020 Form 4, shares from the March 3, 2020 release were delivered to the Reporting Person on May 19, 2020. This amount has been adjusted for the sale of shares to cover applicable taxes.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.39 to $7.465 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
May 20, 2020 Filed May 21, 2020 01:30 UTC
Needham David AnthonyChief Technology Officer
SaleCommon Stock 1,426 $7.44 $10,605.88
Disclosure

SEC source: 0001786953-20-000011 · wf-form4_159002463628155.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,659

F1 · shares: As reported on the March 4, 2020 Form 4, shares from the March 3, 2020 release were delivered to the Reporting Person on May 19, 2020. This amount has been adjusted for the sale of shares to cover applicable taxes.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.39 to $7.47 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
April 27, 2020 Filed Apr 29, 2020 16:57 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001397972-20-000010 · wf-form4_158819381488122.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,970

Underlying: Common Stock · 10,000 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.

F2 · derivative.exercise_date: The option is fully vested.

Read SEC document
April 27, 2020 Filed Apr 29, 2020 16:57 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 10,000 $1.32 $13,200.00
Disclosure

SEC source: 0001397972-20-000010 · wf-form4_158819381488122.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,228

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
April 21, 2020 Filed Apr 22, 2020 16:53 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001397972-20-000008 · wf-form4_158758878654092.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,970

Underlying: Common Stock · 10,000 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.

F2 · derivative.exercise_date: The option is fully vested.

Read SEC document
April 21, 2020 Filed Apr 22, 2020 16:53 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 10,000 $1.32 $13,200.00
Disclosure

SEC source: 0001397972-20-000008 · wf-form4_158758878654092.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,228

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
March 31, 2020 Filed Apr 2, 2020 17:40 UTC GrantCommon Stock 1,541 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000032 · wf-form4_158586362307505.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,682

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 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 and (i) January 30, 2025.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 17:39 UTC GrantCommon Stock 1,482 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000031 · wf-form4_158586357833468.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,623

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 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
March 31, 2020 Filed Apr 2, 2020 17:41 UTC GrantCommon Stock 1,896 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000033 · wf-form4_158586366723884.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,616

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 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 and (ii) January 30, 2025.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:32 UTC
Aristei JoanGC & Chief Compliance Officer
Exercise / conversionRestricted Stock Units · Derivative 847 $0.00 $0.00
Disclosure

SEC source: 0001786293-20-000008 · wf-form4_158569391970836.xml · derivative · entry 3

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,386

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.

F2 · 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, subject to the continued service of the Reporting Person on each vesting date ("the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of common stock, whichever occurs first.

F2 · 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, subject to the continued service of the Reporting Person on each vesting date ("the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of common stock, whichever occurs first.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:32 UTC
Aristei JoanGC & Chief Compliance Officer
Tax withholdingCommon Stock 293 $11.55 $3,384.15
Disclosure

SEC source: 0001786293-20-000008 · wf-form4_158569391970836.xml · nonDerivative · entry 2

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,629

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:32 UTC
Aristei JoanGC & Chief Compliance Officer
Exercise / conversionCommon Stock 847 Not disclosed Not disclosed
Disclosure

SEC source: 0001786293-20-000008 · wf-form4_158569391970836.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,922

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
March 30, 2020 Filed Mar 31, 2020 22:33 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionRestricted Stock Units · Derivative 114 $0.00 $0.00
Disclosure

SEC source: 0001786953-20-000009 · wf-form4_158569401666785.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455

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.

F2 · 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, subject to the continued service of the Reporting Person on each vesting date ("the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of common stock, whichever occurs first.

F2 · 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, subject to the continued service of the Reporting Person on each vesting date ("the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of common stock, whichever occurs first.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:33 UTC
Needham David AnthonyChief Technology Officer
Tax withholdingCommon Stock 40 $11.55 $462.00
Disclosure

SEC source: 0001786953-20-000009 · wf-form4_158569401666785.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,085

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:33 UTC
Needham David AnthonyChief Technology Officer
Exercise / conversionCommon Stock 114 Not disclosed Not disclosed
Disclosure

SEC source: 0001786953-20-000009 · wf-form4_158569401666785.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,125

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
March 24, 2020 Filed Mar 26, 2020 20:23 UTC Exercise / conversionRestricted Stock Units (Right to Buy) · Derivative 2,141 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000022 · wf-form4_158526861298420.xml · derivative · entry 2

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714

Underlying: Common Stock · 2,141 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.

F2 · derivative.exercise_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F2 · derivative.expiration_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:23 UTC Exercise / conversionCommon Stock 2,141 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000022 · wf-form4_158526861298420.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,141

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
March 24, 2020 Filed Mar 26, 2020 20:27 UTC Exercise / conversionRestricted Stock Units · Derivative 2,141 $0.00 $0.00
Disclosure

SEC source: 0001182820-20-000002 · wf-form4_158526885528286.xml · derivative · entry 2

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714

Underlying: Common Stock · 2,141 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.

F2 · derivative.exercise_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F2 · derivative.expiration_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:27 UTC Exercise / conversionCommon Stock 2,141 Not disclosed Not disclosed
Disclosure

SEC source: 0001182820-20-000002 · wf-form4_158526885528286.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,141

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
March 24, 2020 Filed Mar 27, 2020 00:28 UTC
ALVAREZ AIDADirector
Exercise / conversionRestricted Stock Units · Derivative 2,141 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000024 · wf-form4_158526890236656.xml · derivative · entry 2

ALVAREZ AIDA · CIK 0001268885 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714

Underlying: Common Stock · 2,141 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.

F2 · derivative.exercise_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F2 · derivative.expiration_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:28 UTC
ALVAREZ AIDADirector
Exercise / conversionCommon Stock 2,141 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000024 · wf-form4_158526890236656.xml · nonDerivative · entry 1

ALVAREZ AIDA · CIK 0001268885 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,141

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
March 24, 2020 Filed Mar 26, 2020 20:26 UTC Exercise / conversionRestricted Stock Units · Derivative 2,677 $0.00 $0.00
Disclosure

SEC source: 0001251447-20-000003 · wf-form4_158526879169971.xml · derivative · entry 2

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 892

Underlying: Common Stock · 2,677 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.

F2 · derivative.exercise_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F2 · derivative.expiration_date: The restricted stock units vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:26 UTC Exercise / conversionCommon Stock 2,677 Not disclosed Not disclosed
Disclosure

SEC source: 0001251447-20-000003 · wf-form4_158526879169971.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,720

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
March 24, 2020 Filed Mar 26, 2020 20:32 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 9,225 $0.00 $0.00
Disclosure

SEC source: 0001397972-20-000006 · wf-form4_158526915481477.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,675

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.

F4 · derivative.exercise_date: The restricted stock units vest over four years from November 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. In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F4 · derivative.expiration_date: The restricted stock units vest over four years from November 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. In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:32 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 11,079 $0.00 $0.00
Disclosure

SEC source: 0001397972-20-000006 · wf-form4_158526915481477.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,557

Underlying: Common Stock · 11,079 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 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 (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F3 · 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 (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:32 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 3,191 $11.50 $36,696.50
Disclosure

SEC source: 0001397972-20-000006 · wf-form4_158526915481477.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,228

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:32 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 9,225 Not disclosed Not disclosed
Disclosure

SEC source: 0001397972-20-000006 · wf-form4_158526915481477.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,419

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
March 24, 2020 Filed Mar 26, 2020 20:32 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 3,834 $11.50 $44,091.00
Disclosure

SEC source: 0001397972-20-000006 · wf-form4_158526915481477.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,194

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:32 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 11,079 Not disclosed Not disclosed
Disclosure

SEC source: 0001397972-20-000006 · wf-form4_158526915481477.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,028

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
March 24, 2020 Filed Mar 27, 2020 00:31 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionRestricted Stock Units · Derivative 12,579 $0.00 $0.00
Disclosure

SEC source: 0001786250-20-000006 · wf-form4_158526909206251.xml · derivative · entry 6

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,739

Underlying: Common Stock · 12,579 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. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

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. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:31 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionRestricted Stock Units · Derivative 14,772 $0.00 $0.00
Disclosure

SEC source: 0001786250-20-000006 · wf-form4_158526909206251.xml · derivative · entry 5

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,409

Underlying: Common Stock · 14,772 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.

F2 · 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 (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F2 · 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 (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:31 UTC
Kirscht PatrickChief Credit Officer
Tax withholdingCommon Stock 4,350 $11.50 $50,025.00
Disclosure

SEC source: 0001786250-20-000006 · wf-form4_158526909206251.xml · nonDerivative · entry 4

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,722

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:31 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 12,579 Not disclosed Not disclosed
Disclosure

SEC source: 0001786250-20-000006 · wf-form4_158526909206251.xml · nonDerivative · entry 3

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,072

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
March 24, 2020 Filed Mar 27, 2020 00:31 UTC
Kirscht PatrickChief Credit Officer
Tax withholdingCommon Stock 5,112 $11.50 $58,788.00
Disclosure

SEC source: 0001786250-20-000006 · wf-form4_158526909206251.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,493

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:31 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 14,772 Not disclosed Not disclosed
Disclosure

SEC source: 0001786250-20-000006 · wf-form4_158526909206251.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,605

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
March 24, 2020 Filed Mar 27, 2020 00:30 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 29,352 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000025 · wf-form4_158526902223514.xml · derivative · entry 6

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,058

Underlying: Common Stock · 29,352 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. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

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. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

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.