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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
March 10, 2022 Filed Mar 14, 2022 22:21 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Tax withholdingCommon Stock 1,763 $13.26 $23,377.38
Disclosure

SEC source: 0001538716-22-000049 · wf-form4_164729634177822.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,811

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
March 10, 2022 Filed Mar 14, 2022 22:21 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Exercise / conversionCommon Stock 7,237 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000049 · wf-form4_164729634177822.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,574

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 10, 2022 Filed Mar 14, 2022 22:10 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionRestricted Stock Units · Derivative 9,869 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000046 · wf-form4_164729569304734.xml · derivative · entry 5

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,737

Underlying: Common Stock · 9,869 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: 1/4 of the restricted stock units vested on March 10, 2021 and 1/4 of the restricted stock units vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

F3 · derivative.expiration_date: 1/4 of the restricted stock units vested on March 10, 2021 and 1/4 of the restricted stock units vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

Read SEC document
March 10, 2022 Filed Mar 14, 2022 22:10 UTC
Kirscht PatrickChief Credit Officer
Tax withholdingCommon Stock 1,350 $13.26 $17,901.00
Disclosure

SEC source: 0001538716-22-000046 · wf-form4_164729569304734.xml · nonDerivative · entry 3

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,673

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
March 10, 2022 Filed Mar 14, 2022 22:10 UTC
Kirscht PatrickChief Credit Officer
Tax withholdingCommon Stock 3,105 $13.26 $41,172.30
Disclosure

SEC source: 0001538716-22-000046 · wf-form4_164729569304734.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,023

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
March 10, 2022 Filed Mar 14, 2022 22:10 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 9,869 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000046 · wf-form4_164729569304734.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,128

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 10, 2022 Filed Mar 21, 2022 19:24 UTC Amendment
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 24,506 $13.26 $324,949.56
Disclosure

SEC source: 0001538716-22-000064 · wf-form4a_164790504592985.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,356

F1 · shares: Amendment is being filed to correct an error to the number of shares withheld to cover taxes pursuant to the "net exercise".

Read SEC document
March 09, 2022 Filed Mar 9, 2022 17:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 8,522 $1.32 Strike: $1.32 $11,249.04
Disclosure

SEC source: 0001538716-22-000038 · wf-form4_164686553370445.xml · derivative · entry 2

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,522 shares

Expires 2022-08-01

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

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

Read SEC document
March 09, 2022 Filed Mar 9, 2022 17:39 UTC Exercise / conversionCommon Stock 8,522 $1.32 $11,249.04
Disclosure

SEC source: 0001538716-22-000038 · wf-form4_164686553370445.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,314

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 09, 2022 Filed Mar 10, 2022 23:17 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 791,318 $1.32 Strike: $1.32 $1,044,539.76
Disclosure

SEC source: 0001538716-22-000042 · wf-form4_164695425463422.xml · derivative · entry 4

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 791,318 shares

Expires 2022-04-08

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_date: The option is fully vested.

Read SEC document
March 09, 2022 Filed Mar 10, 2022 23:17 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 431,118 $13.58 $5,854,582.44
Disclosure

SEC source: 0001538716-22-000042 · wf-form4_164695425463422.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,304

F1 · shares: Represents shares withheld by the Issuer to pay the exercise price and taxes pursuant to the "net exercise" of 791,318 option shares.

Read SEC document
March 09, 2022 Filed Mar 10, 2022 23:17 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 791,318 $1.32 $1,044,539.76
Disclosure

SEC source: 0001538716-22-000042 · wf-form4_164695425463422.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,181,422

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 09, 2022 Filed Mar 21, 2022 23:22 UTC Amendment
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 423,170 $13.58 $5,746,648.60
Disclosure

SEC source: 0001538716-22-000062 · wf-form4a_164790491408101.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 758,252

F1 · shares: Amendment is being filed to correct an error to the number of shares withheld to cover taxes pursuant to the "net exercise".

Read SEC document
March 08, 2022 Filed Mar 10, 2022 18:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 9,775 $10.23 Strike: $10.23 $99,998.25
Disclosure

SEC source: 0001538716-22-000040 · wf-form4_164695384222722.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,588

Underlying: Common Stock · 9,775 shares

Expires 2024-09-28

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_date: The option is fully vested.

Read SEC document
March 08, 2022 Filed Mar 10, 2022 18:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 58,770 $1.32 Strike: $1.32 $77,576.40
Disclosure

SEC source: 0001538716-22-000040 · wf-form4_164695384222722.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 58,770 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.

F3 · derivative.exercise_date: The option is fully vested.

Read SEC document
March 08, 2022 Filed Mar 10, 2022 18:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $1.32 Strike: $1.32 $26,400.00
Disclosure

SEC source: 0001538716-22-000040 · wf-form4_164695384222722.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,770

Underlying: Common Stock · 20,000 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.

F3 · derivative.exercise_date: The option is fully vested.

Read SEC document
March 08, 2022 Filed Mar 10, 2022 18:11 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 20,000 $1.32 $26,400.00
Disclosure

SEC source: 0001538716-22-000040 · wf-form4_164695384222722.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,092

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 04, 2022 Filed Mar 7, 2022 17:51 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GiftCommon Stock 29,369 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000036 · wf-form4_164669347940134.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote.

Disclosed balance after: 149,423

F3 · shares: This transaction involved a transfer of securities by the Reporting Person to the Jonathan A. Coblentz dated 03/31/2017 for which the Reporting Person is the Trustee.

F4 · 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
March 04, 2022 Filed Mar 7, 2022 17:51 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
GiftCommon Stock 29,369 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000036 · wf-form4_164669347940134.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,092

F3 · shares: This transaction involved a transfer of securities by the Reporting Person to the Jonathan A. Coblentz dated 03/31/2017 for which the Reporting Person is the Trustee.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 17:51 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionRestricted Stock Units · Derivative 5,949 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000036 · wf-form4_164669347940134.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,950

Underlying: Common Stock · 5,949 shares

Expires not disclosed

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

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

F5 · derivative.exercise_date: The restricted stock units vest over four years from August 30, 2019 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

F5 · derivative.expiration_date: The restricted stock units vest over four years from August 30, 2019 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 17:51 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Tax withholdingCommon Stock 2,344 $15.71 $36,824.24
Disclosure

SEC source: 0001538716-22-000036 · wf-form4_164669347940134.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,461

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
March 03, 2022 Filed Mar 7, 2022 17:51 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 5,949 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000036 · wf-form4_164669347940134.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,805

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 03, 2022 Filed Mar 7, 2022 22:46 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 17,848 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000034 · wf-form4_164669317538580.xml · derivative · entry 4

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,849

Underlying: Common Stock · 17,848 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: Twenty-Five percent of the restricted stock units vested on March 3, 2020 and the balance vests annually over three years, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

F4 · derivative.expiration_date: Twenty-Five percent of the restricted stock units vested on March 3, 2020 and the balance vests annually over three years, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 22:46 UTC
Vazquez RaulDirector · Chief Executive Officer
Tax withholdingCommon Stock 6,276 $15.71 $98,595.96
Disclosure

SEC source: 0001538716-22-000034 · wf-form4_164669317538580.xml · nonDerivative · entry 2

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,104

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
March 03, 2022 Filed Mar 7, 2022 22:46 UTC
Vazquez RaulDirector · Chief Executive Officer
Exercise / conversionCommon Stock 17,848 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000034 · wf-form4_164669317538580.xml · nonDerivative · entry 1

Vazquez Raul · CIK 0001578544 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,380

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 03, 2022 Filed Mar 7, 2022 22:42 UTC
Needham David AnthonyChief Product Officer
Exercise / conversionRestricted Stock Units · Derivative 4,462 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000032 · wf-form4_164669294462678.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,462

Underlying: Common Stock · 4,462 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2019 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

F3 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2019 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 22:42 UTC
Needham David AnthonyChief Product Officer
Tax withholdingCommon Stock 1,829 $15.71 $28,733.59
Disclosure

SEC source: 0001538716-22-000032 · wf-form4_164669294462678.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,212

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
March 03, 2022 Filed Mar 7, 2022 22:42 UTC
Needham David AnthonyChief Product Officer
Exercise / conversionCommon Stock 4,462 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000032 · wf-form4_164669294462678.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,041

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 03, 2022 Filed Mar 7, 2022 22:36 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionRestricted Stock Units · Derivative 8,924 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000030 · wf-form4_164669255302550.xml · derivative · entry 3

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,925

Underlying: Common Stock · 8,924 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2019 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

F4 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2019 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 22:36 UTC
Kirscht PatrickChief Credit Officer
Tax withholdingCommon Stock 3,061 $15.71 $48,088.31
Disclosure

SEC source: 0001538716-22-000030 · wf-form4_164669255302550.xml · nonDerivative · entry 2

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,259

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
March 03, 2022 Filed Mar 7, 2022 22:36 UTC
Kirscht PatrickChief Credit Officer
Exercise / conversionCommon Stock 8,924 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000030 · wf-form4_164669255302550.xml · nonDerivative · entry 1

Kirscht Patrick · CIK 0001786250 · Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,320

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.

F2 · balance_after: The number of shares beneficially owned has been adjusted pursuant to an internal review of the Reporting Person's holdings.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 22:32 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 4,462 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000028 · wf-form4_164669234653443.xml · derivative · entry 3

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,462

Underlying: Common Stock · 4,462 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2019 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

F3 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2019 with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 22:32 UTC
Aristei JoanGC & Chief Risk Officer
Tax withholdingCommon Stock 1,829 $15.71 $28,733.59
Disclosure

SEC source: 0001538716-22-000028 · wf-form4_164669234653443.xml · nonDerivative · entry 2

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,095

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
March 03, 2022 Filed Mar 7, 2022 22:32 UTC
Aristei JoanGC & Chief Risk Officer
Exercise / conversionCommon Stock 4,462 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000028 · wf-form4_164669234653443.xml · nonDerivative · entry 1

Aristei Joan · CIK 0001786293 · GC & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,924

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 03, 2022 Filed Mar 7, 2022 22:28 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Exercise / conversionRestricted Stock Units · Derivative 5,949 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000026 · wf-form4_164669208625485.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,950

Underlying: Common Stock · 5,949 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2019, with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

F3 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2019, with twenty-five percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service on each vesting date.

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March 03, 2022 Filed Mar 7, 2022 22:28 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Tax withholdingCommon Stock 1,666 $15.71 $26,172.86
Disclosure

SEC source: 0001538716-22-000026 · wf-form4_164669208625485.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,337

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.

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March 03, 2022 Filed Mar 7, 2022 22:28 UTC
Jenkins Matthew WayneCOO & GM, Personal-Auto Loans
Exercise / conversionCommon Stock 5,949 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-22-000026 · wf-form4_164669208625485.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,003

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

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

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December 31, 2021 Filed Jan 3, 2022 16:05 UTC GrantCommon Stock 834 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000004 · wf-form4_164124388992462.xml · nonDerivative · entry 1

Williams R Neil · CIK 0001423081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,989

F1 · shares: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in a lump sum on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2026.

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December 31, 2021 Filed Jan 3, 2022 16:08 UTC GrantCommon Stock 772 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000006 · wf-form4_164124408698175.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,585

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

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December 31, 2021 Filed Jan 3, 2022 16:02 UTC GrantCommon Stock 1,081 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000002 · wf-form4_164124370728157.xml · nonDerivative · entry 1

PASCARELLA CARL · CIK 0001251447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,792

F1 · shares: The shares represent a fully vested restricted stock unit award. The Reporting Person has elected to defer delivery of the shares, pursuant to the Restricted Stock Unit Award Grant Notice (Non-Employee Director) and Restricted Stock Unit Award Agreement and the deferral election form, subject to compliance with the Internal Revenue Code Section 409A. The shares will be delivered in equal annual installments over two years beginning on the earlier of: (i) January 30 of the calendar year following the Reporting Person's separation of service from the Issuer or (ii) January 30, 2026.

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December 02, 2021 Filed Dec 6, 2021 18:14 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 15,000 $1.32 Strike: $1.32 $19,800.00
Disclosure

SEC source: 0001538716-21-000242 · wf-form4_163883246332785.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,770

Underlying: Common Stock · 15,000 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.

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December 02, 2021 Filed Dec 6, 2021 18:14 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 15,000 $1.32 $19,800.00
Disclosure

SEC source: 0001538716-21-000242 · wf-form4_163883246332785.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,856

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
November 12, 2021 Filed Nov 15, 2021 06:12 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 9,197 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001397972-21-000002 · wf-form4_163697473279869.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,770

Underlying: Common Stock · 9,197 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.

F4 · derivative.exercise_date: The option is fully vested.

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November 12, 2021 Filed Nov 15, 2021 06:12 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 9,197 $1.32 $12,140.04
Disclosure

SEC source: 0001397972-21-000002 · wf-form4_163697473279869.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,053

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 · kind: Stock option exercise and sale effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/8/2020.

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November 12, 2021 Filed Nov 15, 2021 09:18 UTC Amendment
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 9,197 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001397972-21-000004 · wf-form4a_163698587404429.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,770

Underlying: Common Stock · 9,197 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.

F4 · derivative.exercise_date: The option is fully vested.

Read SEC document
November 12, 2021 Filed Nov 15, 2021 09:18 UTC Amendment
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
SaleCommon Stock 9,197 $27.50 $252,917.50
Disclosure

SEC source: 0001397972-21-000004 · wf-form4a_163698587404429.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,856

F1 · kind: Stock option exercise and sale effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/8/2020.

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

Read SEC document
November 12, 2021 Filed Nov 15, 2021 09:18 UTC Amendment
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionCommon Stock 9,197 $1.32 $12,140.04
Disclosure

SEC source: 0001397972-21-000004 · wf-form4a_163698587404429.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,053

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 · kind: Stock option exercise and sale effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/8/2020.

Read SEC document
November 11, 2021 Filed Nov 15, 2021 06:12 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,203 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0001397972-21-000002 · wf-form4_163697473279869.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,967

Underlying: Common Stock · 1,203 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.

F4 · derivative.exercise_date: The option is fully vested.

Read SEC document
November 11, 2021 Filed Nov 15, 2021 06:12 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
SaleCommon Stock 9,197 $27.50 $252,917.50
Disclosure

SEC source: 0001397972-21-000002 · wf-form4_163697473279869.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,856

F1 · kind: Stock option exercise and sale effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/8/2020.

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

Read SEC document
November 11, 2021 Filed Nov 15, 2021 06:12 UTC
COBLENTZ JONATHAN AARONCFO & Chief Admin Officer
SaleCommon Stock 1,203 $27.50 $33,082.50
Disclosure

SEC source: 0001397972-21-000002 · wf-form4_163697473279869.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,856

F1 · kind: Stock option exercise and sale effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/8/2020.

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

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.