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STROHM DAVID N

Disclosed activity across 1 company

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111611
SEC CIK
0001182820

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Oportun Financial Corp

Report date June 30, 2023 · Filed July 05, 2023

Section 16 reporting ended · disclosed 2023-07-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect51,342 Reported balance After 2023-06-30 transaction · row 1
1 source row

Row 1 · 2023-06-30 · Grant · Acquired 1,666 · Balance 51,342

F1: 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.

Common StockSEC Table I · non-derivativeIndirectSee footnote271,160 Reported balance Holding disclosure · report date 2023-06-30 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 271,160

F2: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 30, 2023 Filed Jul 5, 2023 17:32 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 1,666 $0.00 $0.00
Disclosure

SEC source: 0001538716-23-000115 · wk-form4_1688592728.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,342

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
March 31, 2023 Filed Apr 4, 2023 17:16 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 2,191 $0.00 $0.00
Disclosure

SEC source: 0001538716-23-000059 · wf-form4_168064293273570.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,676

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
December 31, 2022 Filed Jan 3, 2023 17:27 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 2,496 $0.00 $0.00
Disclosure

SEC source: 0001538716-23-000006 · wf-form4_167278482232713.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,485

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 17:16 UTC Oportun Financial Corp OPRT · Entity 5862 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
June 30, 2022 Filed Jun 30, 2022 20:12 UTC Oportun Financial Corp OPRT · Entity 5862 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 14, 2022 Filed Jun 15, 2022 18:53 UTC Oportun Financial Corp OPRT · Entity 5862 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.

Read SEC document
March 31, 2022 Filed Apr 4, 2022 18:05 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 1,043 $0.00 $0.00
Disclosure

SEC source: 0001538716-22-000080 · wf-form4_164910990991423.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,628

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
December 31, 2021 Filed Jan 3, 2022 16:08 UTC Oportun Financial Corp OPRT · Entity 5862 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.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 17:04 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 625 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000213 · wf-form4_163312225189020.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,813

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, 2021 Filed Jul 1, 2021 18:58 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 781 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000131 · wf-form4_162518025078475.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,188

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 08, 2021 Filed Jun 10, 2021 17:03 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 6,010 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-21-000106 · wf-form4_162335896945503.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,407

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 8, 2021, December 8, 2021, March 8, 2022, and upon the earlier of (i) the date immediately preceding the Issuer's 2022 annual stockholder meeting or (ii) June 8, 2022, 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.

Read SEC document
March 31, 2021 Filed Apr 1, 2021 17:54 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 755 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000079 · wf-form4_161731402458109.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,397

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
December 31, 2020 Filed Jan 5, 2021 19:09 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 807 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000009 · wf-form4_160989173745188.xml · nonDerivative · entry 2

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,642

F3 · 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
December 14, 2020 Filed Jan 5, 2021 19:09 UTC Oportun Financial Corp OPRT · Entity 5862 GiftCommon Stock 239,679 $0.00 $0.00
Disclosure

SEC source: 0001538716-21-000009 · wf-form4_160989173745188.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 271,160

F1 · shares: This transaction involved a gift of securities by the Reporting Person to trusts for the benefit of his children and the offspring of his children. The Reporting Person is not a trustee of such trusts and has no pecuniary interest or investment discretion.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 17:11 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 1,326 $0.00 $0.00
Disclosure

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

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,835

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

Read SEC document
June 30, 2020 Filed Jul 1, 2020 21:04 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 1,163 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000095 · wf-form4_159365185657104.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,509

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 08, 2020 Filed Jun 8, 2020 20:44 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 714 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000074 · wf-form4_159166345777312.xml · derivative · entry 3

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 714 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: The Reporting Person was granted restricted stock units which represent a contingent right to receive one share of Common Stock for each restricted stock unit. The restricted stock units will vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement").

F3 · derivative.exercise_date: The Reporting Person was granted restricted stock units which represent a contingent right to receive one share of Common Stock for each restricted stock unit. The restricted stock units will vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement").

F3 · derivative.expiration_date: The Reporting Person was granted restricted stock units which represent a contingent right to receive one share of Common Stock for each restricted stock unit. The restricted stock units will vest quarterly over one year from June 6, 2019, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement").

Read SEC document
June 08, 2020 Filed Jun 8, 2020 20:44 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 714 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000074 · wf-form4_159166345777312.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,346

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

Read SEC document
June 03, 2020 Filed Jun 4, 2020 20:41 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 10,009 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000061 · wf-form4_159131767452861.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,632

F1 · shares: Represents an award of restricted stock units that will vest one-fourth on each of September 3, 2020, December 3, 2020, March 3, 2021, and upon the earlier of (i) the date of the Issuer's 2021 annual stockholder meeting or (ii) June 3, 2021, subject to the Reporting Person's continued service through such date.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 17:39 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 1,482 $0.00 $0.00
Disclosure

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

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,623

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

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:27 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 2,141 $0.00 $0.00
Disclosure

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

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714

Underlying: Common Stock · 2,141 shares

Expires not disclosed

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

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

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

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

Read SEC document
March 24, 2020 Filed Mar 26, 2020 20:27 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 2,141 Not disclosed Not disclosed
Disclosure

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

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,141

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

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

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionSeries G Convertible Preferred Stock · Derivative 22,459 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · derivative · entry 12

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 33,277 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.

F7 · derivative.exercise_price: Each share of Series G Convertible Preferred Stock ("Series G") had no expiration date and converted into l.48169754120 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F7 · derivative.exercise_date: Each share of Series G Convertible Preferred Stock ("Series G") had no expiration date and converted into l.48169754120 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F7 · derivative.expiration_date: Each share of Series G Convertible Preferred Stock ("Series G") had no expiration date and converted into l.48169754120 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionSeries F-1 Convertible Preferred Stock · Derivative 163,311 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · derivative · entry 11

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 163,311 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.

F6 · derivative.exercise_price: Each share of Series F-1 Convertible Preferred Stock ("Series F-1") had no expiration date and converted into 1 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F6 · derivative.exercise_date: Each share of Series F-1 Convertible Preferred Stock ("Series F-1") had no expiration date and converted into 1 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F6 · derivative.expiration_date: Each share of Series F-1 Convertible Preferred Stock ("Series F-1") had no expiration date and converted into 1 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionSeries F Convertible Preferred Stock · Derivative 49,267 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · derivative · entry 10

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 132,878 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.

F5 · derivative.exercise_price: Each share of Series F Convertible Preferred Stock ("Series F") had no expiration date and converted into 2.697117 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares being converting into Common Stock on an aggregate basis.

F5 · derivative.exercise_date: Each share of Series F Convertible Preferred Stock ("Series F") had no expiration date and converted into 2.697117 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares being converting into Common Stock on an aggregate basis.

F5 · derivative.expiration_date: Each share of Series F Convertible Preferred Stock ("Series F") had no expiration date and converted into 2.697117 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares being converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionSeries E-1 Convertible Preferred Stock · Derivative 27,272 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · derivative · entry 9

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 52,611 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.

F4 · derivative.exercise_price: Each share of Series E-1 Convertible Preferred Stock ("Series E-1") had no expiration date and converted into 1.9291389 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F4 · derivative.exercise_date: Each share of Series E-1 Convertible Preferred Stock ("Series E-1") had no expiration date and converted into 1.9291389 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F4 · derivative.expiration_date: Each share of Series E-1 Convertible Preferred Stock ("Series E-1") had no expiration date and converted into 1.9291389 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

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September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionSeries C-1 Convertible Preferred Stock · Derivative 10,919 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · derivative · entry 8

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 19,538 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 share of Series C-1 Convertible Preferred Stock ("Series C-1") had no expiration date and converted into I.789396 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F3 · derivative.exercise_date: Each share of Series C-1 Convertible Preferred Stock ("Series C-1") had no expiration date and converted into I.789396 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F3 · derivative.expiration_date: Each share of Series C-1 Convertible Preferred Stock ("Series C-1") had no expiration date and converted into I.789396 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionSeries B-1 Convertible Preferred Stock · Derivative 98,790 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · derivative · entry 7

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 109,222 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 share of Series B-1 Convertible Preferred Stock ("Series B-1") had no expiration date and converted into 1.1056056 shares of Common Stock immediately upon the consummation of the Issuer's Initial Public Offering ("IPO") with all fractional shares converting into Common Stock on an aggregate basis.

F1 · derivative.exercise_date: Each share of Series B-1 Convertible Preferred Stock ("Series B-1") had no expiration date and converted into 1.1056056 shares of Common Stock immediately upon the consummation of the Issuer's Initial Public Offering ("IPO") with all fractional shares converting into Common Stock on an aggregate basis.

F1 · derivative.expiration_date: Each share of Series B-1 Convertible Preferred Stock ("Series B-1") had no expiration date and converted into 1.1056056 shares of Common Stock immediately upon the consummation of the Issuer's Initial Public Offering ("IPO") with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionCommon Stock 33,277 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · nonDerivative · entry 6

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 510,839

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.

F7 · price: Each share of Series G Convertible Preferred Stock ("Series G") had no expiration date and converted into l.48169754120 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F8 · balance_after: Includes two (2) shares of Common Stock that comprise the fractional shares of the Series B-1, Series C-1, Series E-1, Series F, Series F-1 and Series G that converted to Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionCommon Stock 163,311 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · nonDerivative · entry 5

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 477,560

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.

F6 · price: Each share of Series F-1 Convertible Preferred Stock ("Series F-1") had no expiration date and converted into 1 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionCommon Stock 132,878 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · nonDerivative · entry 4

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 314,249

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.

F5 · price: Each share of Series F Convertible Preferred Stock ("Series F") had no expiration date and converted into 2.697117 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares being converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionCommon Stock 52,611 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · nonDerivative · entry 3

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 181,371

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 · price: Each share of Series E-1 Convertible Preferred Stock ("Series E-1") had no expiration date and converted into 1.9291389 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionCommon Stock 19,538 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · nonDerivative · entry 2

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 128,760

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 share of Series C-1 Convertible Preferred Stock ("Series C-1") had no expiration date and converted into I.789396 shares of Common Stock immediately upon the consummation of the Issuer's IPO with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

Read SEC document
September 30, 2019 Filed Sep 30, 2019 21:59 UTC Oportun Financial Corp OPRT · Entity 5862 ConversionCommon Stock 109,222 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-052148 · a4.xml · nonDerivative · entry 1

STROHM DAVID N · CIK 0001182820 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 109,222

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 share of Series B-1 Convertible Preferred Stock ("Series B-1") had no expiration date and converted into 1.1056056 shares of Common Stock immediately upon the consummation of the Issuer's Initial Public Offering ("IPO") with all fractional shares converting into Common Stock on an aggregate basis.

F2 · ownership.nature: The shares are held by Mapache Investments L.P. Mr. Strohm is the General Partner of Mapache Investments, L.P. and has voting and investment control over these shares.

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.