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Layton Kathleen I.

Disclosed activity across 1 company

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61191
SEC CIK
0001985638

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Oportun Financial CorpOPRT · Entity 5862Chief Legal OfficerSeptember 10, 2026September 14, 2026

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 September 10, 2026 · Filed September 14, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect292,006 Reported balance After 2026-09-10 transaction · row 1
1 source row

Row 1 · 2026-09-10 · Sale · Disposed 4,223 · Balance 292,006

F1: 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.

F2: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.78 to $7.84 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.78 to $7.84 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.

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, 2026 Filed Sep 14, 2026 22:10 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 4,223 $7.80 $32,939.40
Disclosure

SEC source: 0001538716-26-000108 · wk-form4_1789423799.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,006

F1 · 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.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $7.78 to $7.84 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 10, 2026 Filed Mar 12, 2026 21:25 UTC Oportun Financial Corp OPRT · Entity 5862 GrantPerformance Stock Units · Derivative 35,179 Not disclosed Not disclosed
Disclosure

SEC source: 0001985638-26-000006 · wk-form4_1773350716.xml · derivative · entry 5

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,179

Underlying: Common Stock · 35,179 shares

Expires 2029-03-10

F4 · derivative.exercise_price: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2026 through 2028. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 125% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2029.

F4 · shares: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2026 through 2028. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 125% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2029.

F5 · price: Each Performance-Based RSU (PSU) represents the right to receive, at settlement, one share of common stock.

F4 · derivative.exercise_date: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2026 through 2028. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 125% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2029.

Read SEC document
March 10, 2026 Filed Mar 12, 2026 21:25 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 70,357 Not disclosed Not disclosed
Disclosure

SEC source: 0001985638-26-000006 · wk-form4_1773350716.xml · nonDerivative · entry 4

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 296,229

F2 · shares: The Restricted Stock Units (RSU) vest in 3 equal annual installments from the vesting commencement date of March 10, 2026, subject to the continued service of the Reporting Person on each vesting date.

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

Read SEC document
March 10, 2026 Filed Mar 12, 2026 21:25 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 12,401 $4.90 $60,764.90
Disclosure

SEC source: 0001985638-26-000006 · wk-form4_1773350716.xml · nonDerivative · entry 3

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,872

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $4.805 to $4.995 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 10, 2026 Filed Mar 12, 2026 21:25 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 5,556 $4.90 $27,224.40
Disclosure

SEC source: 0001985638-26-000006 · wk-form4_1773350716.xml · nonDerivative · entry 2

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 238,273

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $4.805 to $4.995 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 10, 2026 Filed Mar 12, 2026 21:25 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 1,398 $4.90 $6,850.20
Disclosure

SEC source: 0001985638-26-000006 · wk-form4_1773350716.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,829

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $4.805 to $4.995 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
December 31, 2025 Filed Jan 6, 2026 02:31 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 86,043 Not disclosed Not disclosed
Disclosure

SEC source: 0001985638-26-000002 · wk-form4_1767666666.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,227

F1 · price: 100% of the RSUs shall vest on June 30, 2027, subject to the continued service of the Reporting Person on such date and subject to vesting acceleration upon certain involuntary termination events.

Read SEC document
September 10, 2025 Filed Sep 11, 2025 21:16 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 4,214 $6.64 $27,980.96
Disclosure

SEC source: 0001538716-25-000094 · wk-form4_1757625388.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,184

F1 · shares: These shares were automatically sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units on September 10, 2025, and this sale does not represent a discretionary trade by the Reporting Person.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $6.63 to $6.665 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
April 02, 2025 Filed Apr 4, 2025 21:01 UTC Oportun Financial Corp OPRT · Entity 5862 GrantPerformance Stock Units · Derivative 49,020 $0.00 $0.00
Disclosure

SEC source: 0001538716-25-000032 · wk-form4_1743800498.xml · derivative · entry 2

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,020

Underlying: Common Stock · 49,020 shares

Expires 2028-03-10

F3 · derivative.exercise_price: Each Performance-Based RSU (PSU) represents the right to receive, at settlement, one share of common stock.

F4 · shares: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2025 through 2027. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 156% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2028.

F4 · derivative.exercise_date: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2025 through 2027. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 156% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2028.

F4 · derivative.underlying_shares: Represents PSUs that are eligible to vest based on a one-year performance period for Economic ROA (as defined in the PSU Award Agreement). Earned PSUs will be deferred until the end of year three, at which point they will be subject to a modifier based on the Issuer's relative total shareholder return (rTSR) performance against the Russell 3000 Index before vesting. The rTSR performance period spans three (3) years covering calendar years 2025 through 2027. The number of PSUs reported in the table reflects the number of units subject to the award at target achievement. Actual vesting will be based on percentile performance, with potential payout ranging from 0% to 156% of the target units. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that become Eligible Units (as defined in the PSU Award Agreement) will be scheduled to vest on March 10, 2028.

Read SEC document
April 02, 2025 Filed Apr 4, 2025 21:01 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 73,530 Not disclosed Not disclosed
Disclosure

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

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,398

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

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

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:13 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 5,372 $5.99 $32,178.28
Disclosure

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

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,868

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:13 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 5,387 $5.99 $32,268.13
Disclosure

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

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,240

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:13 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 1,473 $5.99 $8,823.27
Disclosure

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

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,627

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 10, 2025 Filed Mar 12, 2025 21:13 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 485 $5.99 $2,905.15
Disclosure

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

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,100

F1 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.69 to $6.34 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:43 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 4,538 $2.45 $11,118.10
Disclosure

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

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,585

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

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.37 to $2.50 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:43 UTC Oportun Financial Corp OPRT · Entity 5862 SaleCommon Stock 750 $2.45 $1,837.50
Disclosure

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

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,123

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

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.37 to $2.50 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 14, 2024 Filed Jun 18, 2024 20:54 UTC Oportun Financial Corp OPRT · Entity 5862 GrantPerformance Stock Units · Derivative 30,535 $0.00 $0.00
Disclosure

SEC source: 0001538716-24-000065 · wk-form4_1718744056.xml · derivative · entry 2

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,535

Underlying: Common Stock · 30,535 shares

Expires 2027-03-10

F3 · derivative.exercise_price: Each Performance-Based RSU (PSU) represents the right to receive, at settlement, one share of common stock.

F4 · shares: PSUs will vest based on the Company's achievement of absolute total shareholder return (Company TSR). The TSR period will be the three (3) year period covering calendar years 2024 through 2026. The target number of units subject to the award is presented in the table. The performance metric will be met, and the PSUs will vest, based on percentile achievement of 0% to 125% of the target number of units, depending on performance. Any PSUs achieved above 100% of target may be paid out to the Reporting Person in either cash or shares of common stock, at the sole discretion of the Company's Compensation and Leadership Committee. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that are achieved will be scheduled to vest on March 10, 2027.

F4 · derivative.exercise_date: PSUs will vest based on the Company's achievement of absolute total shareholder return (Company TSR). The TSR period will be the three (3) year period covering calendar years 2024 through 2026. The target number of units subject to the award is presented in the table. The performance metric will be met, and the PSUs will vest, based on percentile achievement of 0% to 125% of the target number of units, depending on performance. Any PSUs achieved above 100% of target may be paid out to the Reporting Person in either cash or shares of common stock, at the sole discretion of the Company's Compensation and Leadership Committee. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that are achieved will be scheduled to vest on March 10, 2027.

F4 · derivative.underlying_shares: PSUs will vest based on the Company's achievement of absolute total shareholder return (Company TSR). The TSR period will be the three (3) year period covering calendar years 2024 through 2026. The target number of units subject to the award is presented in the table. The performance metric will be met, and the PSUs will vest, based on percentile achievement of 0% to 125% of the target number of units, depending on performance. Any PSUs achieved above 100% of target may be paid out to the Reporting Person in either cash or shares of common stock, at the sole discretion of the Company's Compensation and Leadership Committee. In addition to such performance requirements, the PSUs are subject to satisfying service-based requirements and any PSUs that are achieved will be scheduled to vest on March 10, 2027.

Read SEC document
June 14, 2024 Filed Jun 18, 2024 20:54 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 30,535 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-24-000065 · wk-form4_1718744056.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,873

F1 · shares: The Restricted Stock Units (RSU) vest in 3 equal annual installments from the vesting commencement date of March 10, 2023, subject to the continued service of the Reporting Person on each vesting date.

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

Read SEC document
March 15, 2024 Filed Mar 19, 2024 22:11 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 5,652 $3.03 $17,125.56
Disclosure

SEC source: 0001538716-24-000042 · wk-form4_1710886266.xml · nonDerivative · entry 4

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,338

F1 · 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.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $3.24 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 15, 2024 Filed Mar 19, 2024 22:11 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 1,545 $3.03 $4,681.35
Disclosure

SEC source: 0001538716-24-000042 · wk-form4_1710886266.xml · nonDerivative · entry 3

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,990

F1 · 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.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $3.24 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 15, 2024 Filed Mar 19, 2024 22:11 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 505 $3.03 $1,530.15
Disclosure

SEC source: 0001538716-24-000042 · wk-form4_1710886266.xml · nonDerivative · entry 2

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,535

F1 · 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.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $3.24 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 15, 2024 Filed Mar 19, 2024 22:11 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 660 $3.03 $1,999.80
Disclosure

SEC source: 0001538716-24-000042 · wk-form4_1710886266.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,040

F1 · 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.

F2 · price: Weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $3.24 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
October 25, 2023 Filed Oct 27, 2023 00:46 UTC Amendment Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 18,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-23-000167 · wk-form4a_1698367558.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,700

F1 · date: The original Form 4, filed on October 25, 2023, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the Date of Earliest Transaction and Transaction Date as October 20, 2023, when in fact the actual date for each item was October 25, 2023.

F2 · shares: The restricted stock units will vest over two years from March 10, 2023 with fifty percent vesting on each one year anniversary, provided that the Reporting Person remains in continuous service to the Issuer on each vesting date.

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

Read SEC document
October 20, 2023 Filed Oct 25, 2023 21:48 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 18,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-23-000160 · wk-form4_1698270482.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,700

F1 · shares: The restricted stock units will vest over two years from March 10, 2023 with fifty percent vesting on each one year anniversary, 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.

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September 10, 2023 Filed Sep 12, 2023 20:59 UTC Oportun Financial Corp OPRT · Entity 5862 GrantCommon Stock 36,102 Not disclosed Not disclosed
Disclosure

SEC source: 0001538716-23-000144 · wk-form4_1694552373.xml · nonDerivative · entry 2

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,000

F2 · shares: The restricted stock units will vest over four years from September 10, 2023 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.

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

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September 10, 2023 Filed Sep 12, 2023 20:59 UTC Oportun Financial Corp OPRT · Entity 5862 Tax withholdingCommon Stock 516 $7.51 $3,875.16
Disclosure

SEC source: 0001538716-23-000144 · wk-form4_1694552373.xml · nonDerivative · entry 1

Layton Kathleen I. · CIK 0001985638 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,898

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

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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.