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Nasdaq · USD

OPRT

Oportun Financial Corp

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5862
SEC CIK
0001538716
Parsed reports
396

Last 12 months

Inside the activity.

0 purchase rows · 10 sale rows

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

Latest available

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 02, 2025 Filed Apr 4, 2025 21:01 UTC
Layton Kathleen I.Chief Legal Officer
GrantCommon Stock 73,530 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000032 · wk-form4_1743800498.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,398

F1 · shares: The Restricted Stock Units (RSU) vest in 3 equal annual installments from the vesting commencement date of March 10, 2025, subject to the continued service of the Reporting Person on each vesting date.

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

Read SEC document
April 02, 2025 Filed Apr 4, 2025 20:59 UTC
Kirscht PatrickChief Credit Officer
GrantPerformance Stock Units · Derivative 73,530 $0.00 $0.00
Disclosure

SEC source: 0001538716-25-000030 · wk-form4_1743800354.xml · derivative · entry 4

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,530

Underlying: Common Stock · 73,530 shares

Expires 2028-03-10

F4 · derivative.exercise_price: Each Performance-Based RSU (PSU) represents the right to receive, at settlement, one share of common stock.

F5 · shares: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2025 through 2027. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 156% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2028.

F5 · derivative.exercise_date: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2025 through 2027. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 156% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2028.

F5 · derivative.underlying_shares: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2025 through 2027. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 156% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2028.

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April 02, 2025 Filed Apr 4, 2025 20:59 UTC
Kirscht PatrickChief Credit Officer
GrantCommon Stock 110,295 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000030 · wk-form4_1743800354.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 398,314

F1 · shares: The Restricted Stock Units (RSU) vest in 3 equal annual installments from the vesting commencement date of March 10, 2025, subject to the continued service of the Reporting Person on each vesting date.

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

Read SEC document
March 10, 2025 Filed Mar 12, 2025 17:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 2,577 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000020 · wk-form4_1741813869.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,509

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 17:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 2,180 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000020 · wk-form4_1741813869.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,086

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 17:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 5,831 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000020 · wk-form4_1741813869.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,266

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 17:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 1,385 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000020 · wk-form4_1741813869.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,097

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:18 UTC
Mueller CaseyGlobal Controller and PAO
SaleCommon Stock 1,489 $5.99 $8,919.11
Disclosure

SEC source: 0001538716-25-000026 · wk-form4_1741814323.xml · nonDerivative · entry 5

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,693

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:18 UTC
Mueller CaseyGlobal Controller and PAO
SaleCommon Stock 2,160 $5.99 $12,938.40
Disclosure

SEC source: 0001538716-25-000026 · wk-form4_1741814323.xml · nonDerivative · entry 4

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,182

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:18 UTC
Mueller CaseyGlobal Controller and PAO
SaleCommon Stock 21,826 $5.99 $130,737.74
Disclosure

SEC source: 0001538716-25-000026 · wk-form4_1741814323.xml · nonDerivative · entry 3

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,342

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:18 UTC
Mueller CaseyGlobal Controller and PAO
SaleCommon Stock 636 $5.99 $3,809.64
Disclosure

SEC source: 0001538716-25-000026 · wk-form4_1741814323.xml · nonDerivative · entry 2

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,168

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:18 UTC
Mueller CaseyGlobal Controller and PAO
SaleCommon Stock 136 $5.99 $814.64
Disclosure

SEC source: 0001538716-25-000026 · wk-form4_1741814323.xml · nonDerivative · entry 1

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,804

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:16 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 17,409 $5.99 $104,279.91
Disclosure

SEC source: 0001538716-25-000024 · wk-form4_1741814174.xml · nonDerivative · entry 4

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 288,019

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:16 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 10,641 $5.99 $63,739.59
Disclosure

SEC source: 0001538716-25-000024 · wk-form4_1741814174.xml · nonDerivative · entry 3

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 305,428

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:16 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 14,175 $5.99 $84,908.25
Disclosure

SEC source: 0001538716-25-000024 · wk-form4_1741814174.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316,069

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:16 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 3,116 $5.99 $18,664.84
Disclosure

SEC source: 0001538716-25-000024 · wk-form4_1741814174.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,244

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.33 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
March 10, 2025 Filed Mar 12, 2025 21:13 UTC
Layton Kathleen I.Chief Legal Officer
SaleCommon Stock 5,372 $5.99 $32,178.28
Disclosure

SEC source: 0001538716-25-000022 · wk-form4_1741814016.xml · nonDerivative · entry 4

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,868

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 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
March 10, 2025 Filed Mar 12, 2025 21:13 UTC
Layton Kathleen I.Chief Legal Officer
SaleCommon Stock 5,387 $5.99 $32,268.13
Disclosure

SEC source: 0001538716-25-000022 · wk-form4_1741814016.xml · nonDerivative · entry 3

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,240

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 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
March 10, 2025 Filed Mar 12, 2025 21:13 UTC
Layton Kathleen I.Chief Legal Officer
SaleCommon Stock 1,473 $5.99 $8,823.27
Disclosure

SEC source: 0001538716-25-000022 · wk-form4_1741814016.xml · nonDerivative · entry 2

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,627

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 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
March 10, 2025 Filed Mar 12, 2025 21:13 UTC
Layton Kathleen I.Chief Legal Officer
SaleCommon Stock 485 $5.99 $2,905.15
Disclosure

SEC source: 0001538716-25-000022 · wk-form4_1741814016.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,100

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 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
March 10, 2025 Filed Mar 12, 2025 21:08 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 20,986 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000018 · wk-form4_1741813714.xml · nonDerivative · entry 4

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,193,629

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:08 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 20,976 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000018 · wk-form4_1741813714.xml · nonDerivative · entry 3

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,214,615

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:08 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 17,645 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000018 · wk-form4_1741813714.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,235,591

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:08 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,092 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-25-000018 · wk-form4_1741813714.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,253,236

F1 · price: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

Read SEC document
December 13, 2024 Filed Dec 13, 2024 21:59 UTC PurchaseCommon Stock 15,000 $3.89 $58,350.00
Disclosure

SEC source: 0001538716-24-000156 · wk-form4_1734127178.xml · nonDerivative · entry 1

Minetti Carlos · CIK 0001401335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,504

F1 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.82 to $3.91 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
December 13, 2024 Filed Dec 13, 2024 22:01 UTC PurchaseCommon Stock 7,420 $3.90 $28,938.00
Disclosure

SEC source: 0001538716-24-000158 · wk-form4_1734127287.xml · nonDerivative · entry 1

Daswani Mohit · CIK 0001759184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,924

Read SEC document
December 11, 2024 Filed Dec 11, 2024 17:32 UTC PurchaseCommon Stock 25,000 $3.87 $96,750.00
Disclosure

SEC source: 0001538716-24-000154 · wk-form4_1733956333.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,338

F1 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.78 to $3.93 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
December 10, 2024 Filed Dec 11, 2024 22:30 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 8,403 $3.80 $31,931.40
Disclosure

SEC source: 0001538716-24-000152 · wk-form4_1733956216.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 333,360

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $3.78 to $3.835 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
December 09, 2024 Filed Dec 11, 2024 22:28 UTC
Mueller CaseyGlobal Controller and PAO
SaleCommon Stock 2,962 $4.01 $11,877.62
Disclosure

SEC source: 0001538716-24-000150 · wk-form4_1733956088.xml · nonDerivative · entry 1

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,940

Read SEC document
November 29, 2024 Filed Dec 2, 2024 17:05 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
PurchaseCommon Stock 800 $3.88 $3,104.00
Disclosure

SEC source: 0001538716-24-000148 · wk-form4_1733177149.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote.

Disclosed balance after: 298,280

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

Read SEC document
November 27, 2024 Filed Dec 2, 2024 17:05 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
PurchaseCommon Stock 24,700 $3.91 $96,577.00
Disclosure

SEC source: 0001538716-24-000148 · wk-form4_1733177149.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote.

Disclosed balance after: 297,480

F1 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.71 to $4.00 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.

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

Read SEC document
November 27, 2024 Filed Dec 2, 2024 22:03 UTC
Vazquez RaulDirector · Chief Executive Officer
PurchaseCommon Stock 8,844 $3.86 $34,137.84
Disclosure

SEC source: 0001538716-24-000146 · wk-form4_1733177004.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,257,328

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:38 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 3,706 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000113 · wk-form4_1726177076.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,482

F1 · shares: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:48 UTC
Mueller CaseyGlobal Controller and PAO
SaleCommon Stock 373 $2.45 $913.85
Disclosure

SEC source: 0001538716-24-000119 · wk-form4_1726177712.xml · nonDerivative · entry 1

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,902

F1 · shares: These shares were automatically sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units on September 10, 2024, and this sale does not represent a discretionary trade by the Reporting Person.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.39 to $2.49 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 10, 2024 Filed Sep 12, 2024 21:43 UTC
Layton Kathleen I.Chief Legal Officer
SaleCommon Stock 4,538 $2.45 $11,118.10
Disclosure

SEC source: 0001538716-24-000115 · wk-form4_1726177398.xml · nonDerivative · entry 2

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,585

F1 · shares: These shares were automatically sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units on September 10, 2024, and this sale does not represent a discretionary trade by the Reporting Person.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.37 to $2.50 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 sold at each separate price within the range set forth in this footnote.

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September 10, 2024 Filed Sep 12, 2024 21:43 UTC
Layton Kathleen I.Chief Legal Officer
SaleCommon Stock 750 $2.45 $1,837.50
Disclosure

SEC source: 0001538716-24-000115 · wk-form4_1726177398.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,123

F1 · shares: These shares were automatically sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units on September 10, 2024, and this sale does not represent a discretionary trade by the Reporting Person.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.37 to $2.50 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 sold at each separate price within the range set forth in this footnote.

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September 10, 2024 Filed Sep 12, 2024 21:46 UTC
Kirscht PatrickChief Credit Officer
SaleCommon Stock 7,787 $2.45 $19,078.15
Disclosure

SEC source: 0001538716-24-000117 · wk-form4_1726177582.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 341,763

F1 · shares: These shares were automatically sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units on September 10, 2024, and this sale does not represent a discretionary trade by the Reporting Person.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.49 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.

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September 10, 2024 Filed Sep 12, 2024 21:35 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 11,231 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000111 · wk-form4_1726176903.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,248,484

F1 · shares: No shares were sold - these shares were withheld by the Issuer to satisfy tax obligations in connection with the vesting of previously reported restricted stock units.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 17:06 UTC GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000093 · wk-form4_1719608796.xml · nonDerivative · entry 1

Smith Sandra Adele · CIK 0001876283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,650

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 17:04 UTC GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000091 · wk-form4_1719608661.xml · nonDerivative · entry 1

PARKER SCOTT T · CIK 0001495547 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,104

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 17:09 UTC GrantCommon Stock 33,359 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000095 · wk-form4_1719608947.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,338

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 20:59 UTC GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000086 · wk-form4_1719608385.xml · nonDerivative · entry 1

Minetti Carlos · CIK 0001401335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,504

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 21:11 UTC GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000097 · wk-form4_1719609082.xml · nonDerivative · entry 1

Tambor Richard N. · CIK 0001610440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,687

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 21:02 UTC GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000088 · wk-form4_1719608519.xml · nonDerivative · entry 1

Miramontes Louis · CIK 0001739286 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,196

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 20:57 UTC
Lee GinnyDirector
GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000084 · wk-form4_1719608258.xml · nonDerivative · entry 1

Lee Ginny · CIK 0001880890 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,428

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 20:52 UTC GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000082 · wk-form4_1719607951.xml · nonDerivative · entry 1

Daswani Mohit · CIK 0001759184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,504

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 26, 2024 Filed Jun 28, 2024 20:50 UTC GrantCommon Stock 26,687 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000080 · wk-form4_1719607823.xml · nonDerivative · entry 1

Barefoot Jo Ann · CIK 0001786294 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,553

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 26, 2024, December 26, 2024, March 26, 2025, and upon the earlier of (i) the date immediately preceding the Issuer's 2025 annual stockholder meeting or (ii) June 26, 2025, subject to the Reporting Person's continued service through such date.

F2 · price: Each Restricted Stock Units (RSU) represents the right to receive, at settlement, one share of common stock.

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June 14, 2024 Filed Jun 18, 2024 17:23 UTC GrantCommon Stock 3,417 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000075 · wk-form4_1718745808.xml · nonDerivative · entry 1

PARKER SCOTT T · CIK 0001495547 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,417

F1 · shares: The shares represent a fully vested Restricted Stock Unit (RSU) award.

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

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June 14, 2024 Filed Jun 18, 2024 17:21 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GrantPerformance Stock Units · Derivative 24,667 $0.00 $0.00
Disclosure

SEC source: 0001538716-24-000073 · wk-form4_1718745682.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,667

Underlying: Common Stock · 24,667 shares

Expires 2027-03-10

F4 · derivative.exercise_price: Each Performance-Based RSU (PSU) represents the right to receive, at settlement, one share of common stock.

F5 · shares: PSUs will vest based on the Company's achievement of absolute total shareholder return (Company TSR). The TSR period will be the three (3) year period covering calendar years 2024 through 2026. The target number of units subject to the award is presented in the table. The performance metric will be met, and the PSUs will vest, based on percentile achievement of 0% to 125% of the target number of units, depending on performance. Any PSUs achieved above 100% of target may be paid out to the Reporting Person in either cash or shares of common stock, at the sole discretion of the Company's Compensation and Leadership Committee. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that are achieved will be scheduled to vest on March 10, 2027.

F5 · derivative.exercise_date: PSUs will vest based on the Company's achievement of absolute total shareholder return (Company TSR). The TSR period will be the three (3) year period covering calendar years 2024 through 2026. The target number of units subject to the award is presented in the table. The performance metric will be met, and the PSUs will vest, based on percentile achievement of 0% to 125% of the target number of units, depending on performance. Any PSUs achieved above 100% of target may be paid out to the Reporting Person in either cash or shares of common stock, at the sole discretion of the Company's Compensation and Leadership Committee. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that are achieved will be scheduled to vest on March 10, 2027.

F5 · derivative.underlying_shares: PSUs will vest based on the Company's achievement of absolute total shareholder return (Company TSR). The TSR period will be the three (3) year period covering calendar years 2024 through 2026. The target number of units subject to the award is presented in the table. The performance metric will be met, and the PSUs will vest, based on percentile achievement of 0% to 125% of the target number of units, depending on performance. Any PSUs achieved above 100% of target may be paid out to the Reporting Person in either cash or shares of common stock, at the sole discretion of the Company's Compensation and Leadership Committee. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that are achieved will be scheduled to vest on March 10, 2027.

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June 14, 2024 Filed Jun 18, 2024 17:21 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GrantCommon Stock 24,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000073 · wk-form4_1718745682.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,188

F1 · shares: The Restricted Stock Units (RSU) vest in 3 equal annual installments from the vesting commencement date of March 10, 2024, subject to the continued service of the Reporting Person on each vesting date.

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

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