Coblentz Jonathan Aaron's Form 4/A amendment
AmendedOportun Financial CorpOPRT · filed Nov 15, 2021
- Accession no.
- 0001397972-21-000004
- Filed
- Nov 15, 2021
- Trade date
- Nov 11-12, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 15, 2021
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $286.0K. It was filed 4 days after the trade.
This amendment replaces 0001397972-21-000002 (filed Nov 15, 2021).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Coblentz Jonathan AaronCIK 0001397972 | Officer (CFO & Chief Admin Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +1,203 | $1.32 | +$1,587.96 | 62,059 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −1,203 | $27.50F2 | −$33,082.5 | 60,856 | Direct | |
| Nov 12, 2021 | Common Stock | MOption exerciseAcquired | +9,197 | $1.32 | +$12,140.04 | 70,053 | Direct | |
| Nov 12, 2021 | Common Stock | SSaleDisposed | −9,197 | $27.50F2 | −$252,917.5 | 60,856 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −1,203 | $0.00 | $0 | 102,967 | Direct | |
| Nov 12, 2021 | Common Stock | MOption exerciseDisposed | −9,197 | $0.00 | $0 | 93,770 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Stock option exercise and sale effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on 12/8/2020.
- F2
All shares were sold at the same price.
Referenced by the price of 2 transactions in Table I.
- F3
Certain of these shares are held in the Jonathan A. Coblentz Revocable Trust U/A/D 3/31/2017 for which the Reporting Person is the Trustee.
- F4
The option is fully vested.
Remarks
This Form 4/A is being filed solely to correct an inadvertent error in the transaction date of the last reported stock sale in column 2 of Table I.