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Needham David Anthony

Disclosed activity across 1 company

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129142
SEC CIK
0001786953

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Oportun Financial CorpOPRT · Entity 5862Chief Product OfficerMarch 10, 2022March 14, 2022

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.

Oportun Financial Corp

Report date March 10, 2022 · Filed March 14, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect104,071 Ending reported balance After 2022-03-11 transaction · row 7
7 source rows · reconciled sequence

Row 1 · 2022-03-10 · Exercise / conversion · Acquired 4,934 · Balance 55,146

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

Row 2 · 2022-03-10 · Tax withholding · Disposed 1,707 · Balance 53,439

F2: 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.

Row 3 · 2022-03-10 · Tax withholding · Disposed 763 · Balance 52,676

F2: 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.

Row 4 · 2022-03-11 · Exercise / conversion · Acquired 40,418 · Balance 93,094

Row 5 · 2022-03-11 · Tax withholding · Disposed 4,088 · Balance 89,006

F3: Represents tender of previously owned shares to cover the exercise price of the stock options.

Row 6 · 2022-03-11 · Exercise / conversion · Acquired 22,727 · Balance 111,733

Row 7 · 2022-03-11 · Tax withholding · Disposed 7,662 · Balance 104,071

F3: Represents tender of previously owned shares to cover the exercise price of the stock options.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect9,869 Reported balance After 2022-03-10 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2022-03-10 · Exercise / conversion · Disposed 4,934 · Balance 9,869

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

F4: 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

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.32 · Expires 2022-09-26Direct0 Reported balance After 2022-03-11 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2022-03-11 · Grant · Disposed 40,418 · Balance 0

F5: The option is fully vested.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.40 · Expires 2023-07-24Direct0 Reported balance After 2022-03-11 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2022-03-11 · Exercise / conversion · Disposed 22,727 · Balance 0

F5: The option is fully vested.

Filing footnotes · ownership attribution and instrument terms

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

F2: 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.

F3: Represents tender of previously owned shares to cover the exercise price of the stock options.

F4: 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

F5: The option is fully vested.

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
September 10, 2020 Filed Sep 15, 2020 01:45 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 26,979 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000142 · wf-form4_160013431860445.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,830

F1 · shares: The restricted stock units will vest over four years from September 10, 2020 with 1/4 of the restricted stock units vesting annually on each anniversary date, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

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

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 341 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · derivative · entry 6

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341

Underlying: Common Stock · 341 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 November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

F5 · derivative.expiration_date: The restricted stock units vest over four years from November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 5,870 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · derivative · entry 5

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,742

Underlying: Common Stock · 5,870 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 August 30, 2018 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

F4 · derivative.expiration_date: The restricted stock units vest over four years from August 30, 2018 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 123 $12.81 $1,575.09
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 4

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,851

F2 · shares: Represents shares of common stock sold to satisfy the Reporting Person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.73 to $12.98 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 341 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,974

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 31, 2020 Filed Sep 2, 2020 23:40 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 2,115 $12.81 $27,083.84
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,633

F2 · shares: Represents shares of common stock sold to satisfy the Reporting Person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $12.73 to $12.98 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 31, 2020 Filed Sep 2, 2020 23:40 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 5,870 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000126 · wf-form4_159909001293774.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,748

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 03, 2020 Filed Aug 5, 2020 21:23 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 7,772 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000110 · wf-form4_159666256974888.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,773

Underlying: Common Stock · 7,772 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: The restricted stock units will vest over two years from August 1, 2019 with fifty percent vesting on the first anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service on each vesting date.

F4 · derivative.expiration_date: The restricted stock units will vest over two years from August 1, 2019 with fifty percent vesting on the first anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service on each vesting date.

Read SEC document
August 03, 2020 Filed Aug 5, 2020 21:23 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 2,855 $13.46 $38,436.01
Disclosure

SEC source: 0001538716-20-000110 · wf-form4_159666256974888.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,878

F2 · shares: Represents shares of common stock sold to satisfy the reporting person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit.

F3 · price: Weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.29 to $13.68 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
August 03, 2020 Filed Aug 5, 2020 21:23 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 7,772 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000110 · wf-form4_159666256974888.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,733

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, 2020 Filed Jul 2, 2020 00:46 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 114 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000091 · wf-form4_159365076842642.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341

Underlying: Common Stock · 114 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2017 with 1/4 of the restricted stock units vesting on March 30, 2018 and the remainder vesting quarterly, subject to the continued service of the Reporting Person on each vesting date (the "Service and Vesting Requirement").

F4 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2017 with 1/4 of the restricted stock units vesting on March 30, 2018 and the remainder vesting quarterly, subject to the continued service of the Reporting Person on each vesting date (the "Service and Vesting Requirement").

Read SEC document
June 30, 2020 Filed Jul 2, 2020 00:46 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 41 $13.24 $542.85
Disclosure

SEC source: 0001538716-20-000091 · wf-form4_159365076842642.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,961

F2 · shares: Represents shares of common stock sold to satisfy the reporting person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $13.24 to $13.25 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 00:46 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 114 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000091 · wf-form4_159365076842642.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,002

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

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

Read SEC document
June 01, 2020 Filed Jun 2, 2020 23:32 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 341 $0.00 $0.00
Disclosure

SEC source: 0001538716-20-000057 · wf-form4_159114072835614.xml · derivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 682

Underlying: Common Stock · 341 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: The restricted stock units vest over four years from November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F4 · derivative.expiration_date: The restricted stock units vest over four years from November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 23:32 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 112 $10.25 $1,147.92
Disclosure

SEC source: 0001538716-20-000057 · wf-form4_159114072835614.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,888

F2 · shares: Represents shares of common stock sold to satisfy the reporting person's minimum tax obligation in respect of the shares issued upon vesting of a restricted stock unit.

F3 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $10.21 to $10.25 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 23:32 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 341 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-20-000057 · wf-form4_159114072835614.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

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

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

Read SEC document
May 20, 2020 Filed May 21, 2020 01:30 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 1,426 $7.44 $10,605.88
Disclosure

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

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,659

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

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.39 to $7.47 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:33 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 114 $0.00 $0.00
Disclosure

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

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455

Underlying: Common Stock · 114 shares

Expires not disclosed

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

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

F2 · derivative.exercise_date: The restricted stock units vest over four years from March 3, 2017 with 1/4 of the restricted stock units vesting on March 30, 2018 and the remainder vesting quarterly, subject to the continued service of the Reporting Person on each vesting date ("the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of common stock, whichever occurs first.

F2 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2017 with 1/4 of the restricted stock units vesting on March 30, 2018 and the remainder vesting quarterly, subject to the continued service of the Reporting Person on each vesting date ("the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares will only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of common stock, whichever occurs first.

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:33 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 40 $11.55 $462.00
Disclosure

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

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,085

Read SEC document
March 30, 2020 Filed Mar 31, 2020 22:33 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 114 Not disclosed Not disclosed
Disclosure

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

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,125

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

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

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 5,870 $0.00 $0.00
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · derivative · entry 9

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,612

Underlying: Common Stock · 5,870 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 August 30, 2018 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F4 · derivative.expiration_date: The restricted stock units vest over four years from August 30, 2018 with 1/4 of the restricted stock units vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 1,249 $0.00 $0.00
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · derivative · entry 8

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 569

Underlying: Common Stock · 1,249 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, 2017 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F3 · derivative.expiration_date: The restricted stock units vest over four years from March 3, 2017 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date. In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 4,431 $0.00 $0.00
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · derivative · entry 7

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,023

Underlying: Common Stock · 4,431 shares

Expires not disclosed

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

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

F2 · derivative.exercise_date: The restricted stock units vest over four years from November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

F2 · derivative.expiration_date: The restricted stock units vest over four years from November 30, 2016 with 1/4 of the restricted stock units vesting on the one year anniversary and the remainder vesting quarterly, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date (the "Service and Vesting Requirement"). In addition to the Service and Vesting Requirement, the shares only vest upon (i) change in control of the Issuer or (ii) the first trading date following the expiration of the lock-up period applicable in connection with the Issuer's Initial Public Offering of Common Stock, whichever occurs first.

Read SEC document
March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 2,030 $11.50 $23,345.00
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · nonDerivative · entry 6

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,011

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March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 5,870 Not disclosed Not disclosed
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · nonDerivative · entry 5

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,041

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.

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March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 437 $11.50 $5,025.50
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · nonDerivative · entry 4

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,171

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March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 1,249 Not disclosed Not disclosed
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · nonDerivative · entry 3

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,608

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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March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 1,534 $11.50 $17,641.00
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · nonDerivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,359

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March 24, 2020 Filed Mar 27, 2020 00:24 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 4,431 Not disclosed Not disclosed
Disclosure

SEC source: 0001786953-20-000006 · wf-form4_158526867246994.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,893

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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March 10, 2020 Filed Mar 12, 2020 21:12 UTC Oportun Financial Corp OPRT · Entity 5862 GrantStock Option (Right to Buy) · Derivative 41,436 $0.00 Strike: $19.00 $0.00
Disclosure

SEC source: 0001786953-20-000004 · wf-form4_158404750669201.xml · derivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,436

Underlying: Common Stock · 41,436 shares

Expires 2020-03-09

F3 · derivative.exercise_date: 1/4 of the option shares shall vest on March 10, 2021 and 1/36 of the remaining option shares shall vest monthly over three years, subject to the continued service of the Reporting Person on each vesting date.

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March 10, 2020 Filed Mar 12, 2020 21:12 UTC Oportun Financial Corp OPRT · Entity 5862 GrantRestricted Stock Units · Derivative 19,737 $0.00 $0.00
Disclosure

SEC source: 0001786953-20-000004 · wf-form4_158404750669201.xml · derivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,737

Underlying: Common Stock · 19,737 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: 1/4 of the restricted stock units shall vest on March 10, 2021 and 1/4 of the restricted stock units shall vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

F2 · derivative.expiration_date: 1/4 of the restricted stock units shall vest on March 10, 2021 and 1/4 of the restricted stock units shall vest annually over three years, subject to the continued service of the Reporting Person on each vesting date.

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March 03, 2020 Filed Mar 4, 2020 22:54 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionRestricted Stock Units · Derivative 4,462 $0.00 $0.00
Disclosure

SEC source: 0001786953-20-000002 · wf-form4_158336243110170.xml · derivative · entry 2

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,386

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.

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

F1 · shares: Shares will be delivered to the Reporting Person in May 2020. This amount will be adjusted for the sale of shares to cover applicable taxes on the delivery date.

F3 · derivative.exercise_date: The Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. Twenty-five percent (25%) of the RSUs vested on March 3, 2020 and the balance vests annually over three (3) years, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. Twenty-five percent (25%) of the RSUs vested on March 3, 2020 and the balance vests annually over three (3) years, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

F1 · derivative.underlying_shares: Shares will be delivered to the Reporting Person in May 2020. This amount will be adjusted for the sale of shares to cover applicable taxes on the delivery date.

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March 03, 2020 Filed Mar 4, 2020 22:54 UTC Oportun Financial Corp OPRT · Entity 5862 Exercise / conversionCommon Stock 4,462 Not disclosed Not disclosed
Disclosure

SEC source: 0001786953-20-000002 · wf-form4_158336243110170.xml · nonDerivative · entry 1

Needham David Anthony · CIK 0001786953 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,462

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: Shares will be delivered to the Reporting Person in May 2020. This amount will be adjusted for the sale of shares to cover applicable taxes on the delivery date.

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

F1 · balance_after: Shares will be delivered to the Reporting Person in May 2020. This amount will be adjusted for the sale of shares to cover applicable taxes on the delivery date.

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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.