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Nasdaq · USD

OPRT

Oportun Financial Corp

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5862
SEC CIK
0001538716
Parsed reports
396

Last 12 months

Inside the activity.

0 purchase rows · 10 sale rows

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

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 11, 2022 Filed Nov 14, 2022 21:28 UTC
Vazquez RaulDirector · Chief Executive Officer
PurchaseCommon Stock 20,577 $6.77 $139,291.89
Disclosure

SEC source: 0001538716-22-000219 · wf-form4_166846124579838.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 233,709

F3 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.48 to $7.06 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 a family trust for which the Reporting Person is the Trustee.

Read SEC document
November 10, 2022 Filed Nov 14, 2022 16:30 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
PurchaseCommon Stock 29,574 $6.42 $189,767.49
Disclosure

SEC source: 0001538716-22-000220 · wf-form4_166846138379890.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,072

F1 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.86 to $6.50 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
November 10, 2022 Filed Nov 14, 2022 21:28 UTC
Vazquez RaulDirector · Chief Executive Officer
PurchaseCommon Stock 32,320 $6.46 $208,922.94
Disclosure

SEC source: 0001538716-22-000219 · wf-form4_166846124579838.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 213,132

F1 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.85 to $6.62 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 a family trust for which the Reporting Person is the Trustee.

Read SEC document
September 30, 2022 Filed Oct 3, 2022 17:22 UTC GrantCommon Stock 3,576 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000205 · wf-form4_166483203056129.xml · nonDerivative · entry 1

Welts Frederic · CIK 0001488166 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,986

F1 · shares: The shares represent a fully vested restricted stock unit award. Each restricted stock unit represents the right to receive at settlement, one share of common stock. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2027.

Read SEC document
September 30, 2022 Filed Oct 3, 2022 17:36 UTC GrantCommon Stock 3,862 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000207 · wf-form4_166483242804840.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,619

F1 · shares: The shares represent a fully vested restricted stock unit award. Each restricted stock unit represents the right to receive at settlement, one share of common stock. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2027.

Read SEC document
September 30, 2022 Filed Oct 3, 2022 17:16 UTC GrantCommon Stock 3,147 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000203 · wf-form4_166483174125079.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,989

F1 · shares: The shares represent a fully vested restricted stock unit award. Each restricted stock unit represents the right to receive at settlement, one share of common stock. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on January 30 of the calendar year following the Reporting Person's separation of service from the Issuer.

Read SEC document
September 30, 2022 Filed Oct 3, 2022 17:11 UTC GrantCommon Stock 4,577 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000201 · wf-form4_166483112201066.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,477

F1 · shares: The shares represent a fully vested restricted stock unit award. Each restricted stock unit represents the right to receive at settlement, one share of common stock. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in equal annual installments over two years beginning on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2027.

Read SEC document
September 30, 2022 Filed Oct 3, 2022 21:03 UTC
Lee GinnyDirector
GrantCommon Stock 3,147 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000199 · wf-form4_166483094933489.xml · nonDerivative · entry 1

Lee Ginny · CIK 0001880890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,290

F1 · shares: The shares represent a fully vested restricted stock unit award. Each restricted stock unit represents the right to receive at settlement, one share of common stock. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on January 30 of the 5th year following the year in which 2022 director fees were earned (January 30, 2027).

Read SEC document
September 12, 2022 Filed Sep 14, 2022 17:01 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 5,351 $5.85 $31,303.35
Disclosure

SEC source: 0001538716-22-000184 · wf-form4_166318926303939.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,498

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.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:11 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 15,606 $5.85 $91,295.10
Disclosure

SEC source: 0001538716-22-000193 · wf-form4_166318989594688.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 953,969

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.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:08 UTC
Mueller CaseyGlobal Controller and PAO
Tax withholdingCommon Stock 347 $5.85 $2,029.95
Disclosure

SEC source: 0001538716-22-000190 · wf-form4_166318971305307.xml · nonDerivative · entry 1

Mueller Casey · CIK 0001923486 · Global Controller and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,923

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.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:05 UTC
Kirscht PatrickChief Credit Officer
Tax withholdingCommon Stock 7,231 $5.85 $42,301.35
Disclosure

SEC source: 0001538716-22-000188 · wf-form4_166318954140829.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,693

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.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:03 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Tax withholdingCommon Stock 2,409 $5.85 $14,092.65
Disclosure

SEC source: 0001538716-22-000186 · wf-form4_166318941071497.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,762

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.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 20:58 UTC
Aristei JoanGC & Chief Risk Officer
Tax withholdingCommon Stock 2,333 $5.85 $13,648.05
Disclosure

SEC source: 0001538716-22-000182 · wf-form4_166318910913809.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,761

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.

Read SEC document
August 31, 2022 Filed Sep 1, 2022 21:08 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 6,290 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000168 · wf-form4_166206648320210.xml · derivative · entry 3

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,290 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The restricted stock units fully vested on August 30, 2022.

F3 · derivative.expiration_date: The restricted stock units fully vested on August 30, 2022.

Read SEC document
August 31, 2022 Filed Sep 1, 2022 21:08 UTC
Aristei JoanGC & Chief Risk Officer
Tax withholdingCommon Stock 2,176 $5.33 $11,598.08
Disclosure

SEC source: 0001538716-22-000168 · wf-form4_166206648320210.xml · nonDerivative · entry 2

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,094

F2 · 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.

Read SEC document
August 31, 2022 Filed Sep 1, 2022 21:08 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionCommon Stock 6,290 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000168 · wf-form4_166206648320210.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,270

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

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

Read SEC document
August 30, 2022 Filed Sep 1, 2022 17:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 9,225 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000170 · wf-form4_166206668040424.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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 fully vested on August 30, 2022.

F4 · derivative.expiration_date: The restricted stock units fully vested on August 30, 2022.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 17:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 4,574 $5.33 $24,379.42
Disclosure

SEC source: 0001538716-22-000170 · wf-form4_166206668040424.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,849

F2 · 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.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 17:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 9,225 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000170 · wf-form4_166206668040424.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,423

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

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

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:20 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 29,353 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000176 · wf-form4_166206718963638.xml · derivative · entry 5

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,353 shares

Expires not disclosed

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

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

F5 · derivative.exercise_date: The restricted stock units fully vested on August 30, 2022.

F5 · derivative.expiration_date: The restricted stock units fully vested on August 30, 2022.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:20 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 14,554 $5.33 $77,572.82
Disclosure

SEC source: 0001538716-22-000176 · wf-form4_166206718963638.xml · nonDerivative · entry 4

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969,575

F4 · 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.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:20 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 29,353 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000176 · wf-form4_166206718963638.xml · nonDerivative · entry 3

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 984,129

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

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

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:17 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionRestricted Stock Units · Derivative 12,580 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000174 · wf-form4_166206702156769.xml · derivative · entry 7

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,580 shares

Expires not disclosed

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

F2 · 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 fully vested on August 30, 2022.

F4 · derivative.expiration_date: The restricted stock units fully vested on August 30, 2022.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:17 UTC
Kirscht PatrickChief Credit Officer
Tax withholdingCommon Stock 6,988 $5.33 $37,246.04
Disclosure

SEC source: 0001538716-22-000174 · wf-form4_166206702156769.xml · nonDerivative · entry 6

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,924

F3 · 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.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:17 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 12,580 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000174 · wf-form4_166206702156769.xml · nonDerivative · entry 5

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,912

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

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:14 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Exercise / conversionRestricted Stock Units · Derivative 10,483 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000172 · wf-form4_166206686718454.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,483 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 fully vested on August 30, 2022.

F3 · derivative.expiration_date: The restricted stock units fully vested on August 30, 2022.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:14 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Tax withholdingCommon Stock 2,553 $5.33 $13,607.49
Disclosure

SEC source: 0001538716-22-000172 · wf-form4_166206686718454.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,171

F2 · 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.

Read SEC document
August 30, 2022 Filed Sep 1, 2022 21:14 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Exercise / conversionCommon Stock 10,483 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000172 · wf-form4_166206686718454.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,724

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 30, 2022 Filed Jun 30, 2022 20:15 UTC GrantCommon Stock 1,890 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000146 · wf-form4_165663450072303.xml · nonDerivative · entry 1

Welts Frederic · CIK 0001488166 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,410

F1 · shares: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2027.

Read SEC document
June 30, 2022 Filed Jun 30, 2022 20:08 UTC GrantCommon Stock 2,419 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000142 · wf-form4_165663410580283.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,900

F1 · shares: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in equal annual installments over two years beginning on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2027.

Read SEC document
June 30, 2022 Filed Jun 30, 2022 20:18 UTC GrantCommon Stock 2,041 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000148 · wf-form4_165663468124291.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,757

F1 · shares: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2027.

Read SEC document
June 30, 2022 Filed Jun 30, 2022 20:12 UTC GrantCommon Stock 1,663 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000144 · wf-form4_165663431885225.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,842

F1 · shares: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on January 30 of the calendar year following the Reporting Person's separation of service from the Issuer.

Read SEC document
June 30, 2022 Filed Jul 1, 2022 00:05 UTC
Lee GinnyDirector
GrantCommon Stock 1,663 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000140 · wf-form4_165663389725208.xml · nonDerivative · entry 1

Lee Ginny · CIK 0001880890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,143

F1 · shares: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on January 30 of the 5th year following the year in which 2022 director fees were earned (January 30, 2027)

Read SEC document
June 14, 2022 Filed Jun 15, 2022 18:50 UTC GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000128 · wf-form4_165533343356443.xml · nonDerivative · entry 1

Smith Sandra Adele · CIK 0001876283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,522

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 18:56 UTC GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000132 · wf-form4_165533376563544.xml · nonDerivative · entry 1

Welts Frederic · CIK 0001488166 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,520

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 18:59 UTC GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000134 · wf-form4_165533394290060.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,716

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 18:53 UTC GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000130 · wf-form4_165533357796809.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,179

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 22:18 UTC
ALVAREZ AIDADirector
GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000115 · wf-form4_165533146764400.xml · nonDerivative · entry 1

ALVAREZ AIDA · CIK 0001268885 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,425

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 18:48 UTC GrantCommon Stock 15,688 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000126 · wf-form4_165533327850384.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,481

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 18:20 UTC
Banks RoyDirector
GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000117 · wf-form4_165533162291253.xml · nonDerivative · entry 1

Banks Roy · CIK 0001305065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,522

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 22:35 UTC GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000124 · wf-form4_165533251996175.xml · nonDerivative · entry 1

Miramontes Louis · CIK 0001739286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,068

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 22:29 UTC
Lee GinnyDirector
GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000122 · wf-form4_165533212856601.xml · nonDerivative · entry 1

Lee Ginny · CIK 0001880890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,480

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Jun 15, 2022 22:26 UTC GrantCommon Stock 12,551 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000120 · wf-form4_165533198059983.xml · nonDerivative · entry 1

Barefoot Jo Ann · CIK 0001786294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,425

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 14, 2022, December 14, 2022, March 14, 2023, and upon the earlier of (i) the date immediately preceding the Issuer's 2023 annual stockholder meeting or (ii) June 14, 2023, subject to the Reporting Person's continued service through such date.

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

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June 14, 2022 Filed Sep 1, 2022 21:17 UTC
Kirscht PatrickChief Credit Officer
GiftCommon Stock 2,900 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000174 · wf-form4_166206702156769.xml · nonDerivative · entry 4

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Child 2

Disclosed balance after: 2,900

F1 · shares: This transaction involved a gift of securities by the Reporting Person to his child, who shares Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares held by his child, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of his child's shares for purposes of Section 16 or for any other purpose.

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June 14, 2022 Filed Sep 1, 2022 21:17 UTC
Kirscht PatrickChief Credit Officer
GiftCommon Stock 2,900 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000174 · wf-form4_166206702156769.xml · nonDerivative · entry 3

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,332

F1 · shares: This transaction involved a gift of securities by the Reporting Person to his child, who shares Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares held by his child, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of his child's shares for purposes of Section 16 or for any other purpose.

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June 14, 2022 Filed Sep 1, 2022 21:17 UTC
Kirscht PatrickChief Credit Officer
GiftCommon Stock 2,900 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000174 · wf-form4_166206702156769.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Child 1

Disclosed balance after: 2,900

F1 · shares: This transaction involved a gift of securities by the Reporting Person to his child, who shares Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares held by his child, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of his child's shares for purposes of Section 16 or for any other purpose.

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June 14, 2022 Filed Sep 1, 2022 21:17 UTC
Kirscht PatrickChief Credit Officer
GiftCommon Stock 2,900 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000174 · wf-form4_166206702156769.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,232

F1 · shares: This transaction involved a gift of securities by the Reporting Person to his child, who shares Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares held by his child, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of his child's shares for purposes of Section 16 or for any other purpose.

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June 02, 2022 Filed Jun 3, 2022 21:45 UTC
ALVAREZ AIDADirector
Exercise / conversionStock Option (Right to Buy) · Derivative 18,181 $1.32 Strike: $1.32 $23,998.92
Disclosure

SEC source: 0001538716-22-000113 · wf-form4_165429273464610.xml · derivative · entry 3

ALVAREZ AIDA · CIK 0001268885 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,181 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.

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June 02, 2022 Filed Jun 3, 2022 21:45 UTC
ALVAREZ AIDADirector
SaleCommon Stock 18,181 $11.46 $208,354.26
Disclosure

SEC source: 0001538716-22-000113 · wf-form4_165429273464610.xml · nonDerivative · entry 2

ALVAREZ AIDA · CIK 0001268885 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,874

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $11.30 to $11.585 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.