[144/A] Oportun Financial Corporation SEC Filing

Rhea-AI Filing Summary

Oportun Financial Corporation (OPRT) filed an amended Form 144 notifying a proposed sale of 3,417 common shares with an aggregate market value of $23,748.00. The shares are to be sold on 09/04/2025 on NASDAQ through Charles Schwab & Co., Inc. The securities were acquired on 06/28/2024 by a restricted stock lapse from Oportun Financial Corp and were received as equity compensation. The filer reports no securities sold by the same person during the past three months and affirms no undisclosed material adverse information.

Insights

Securities Analyst

TL;DR: Routine insider sale notice; small block of shares acquired via equity compensation to be sold through a broker.

The filing is a standard amended Form 144 documenting a proposed sale of 3,417 common shares valued at $23,748 to occur on 09/04/2025 via Charles Schwab on NASDAQ. The shares were acquired on 06/28/2024 through a restricted stock lapse and recorded as equity compensation. The filer indicates no sales in the prior three months and affirms no material nonpublic information. This appears to be a compliance disclosure rather than a material corporate event.

Corporate Governance Expert

TL;DR: Disclosure follows Rule 144 mechanics; includes required certification about material information.

The document contains requisite details for a Rule 144 sale: class of security, broker identification, number of shares, aggregate market value, outstanding shares count, acquisition date and nature, and planned sale date and venue. It also includes the statutory signature representation that the seller is unaware of undisclosed material adverse information. No other governance actions or material corporate changes are disclosed in this filing.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144/A

144/A: Filer Information

Filer CIK
Filer CCC
Previous Accession Number Of The Filing
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144/A: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144/A: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	3417	23748.00	44009399	09/04/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144/A: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	06/28/2024	Restricted Stock Lapse	Oportun Financial Corp			3417	06/28/2024	Equity Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144/A: Securities Sold During The Past 3 Months

Nothing to Report

144/A: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What is the number of OPRT shares proposed for sale in this Form 144/A?

The filing states a proposed sale of 3,417 common shares.

What is the aggregate market value of the shares to be sold for Oportun (OPRT)?

The aggregate market value is reported as $23,748.00.

When were the shares acquired and by what method according to the filing?

The shares were acquired on 06/28/2024 via a restricted stock lapse from Oportun Financial Corp as equity compensation.

Through which broker and on what exchange will the OPRT shares be sold?

The sale is to be executed through Charles Schwab & Co., Inc. on NASDAQ.

Is there any record of sales by the same person in the past three months?

The filing reports Nothing to Report for securities sold during the past three months.

What representations does the filer make regarding material information?

The filer represents by signing the notice that they do not know any material adverse information about the issuer that has not been publicly disclosed.