Oportun Financial Corp
For the period ended Mar 31, 2026. Filed May 8, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2026 · Filed May 8, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit | Description | Form | File No. | Exhibit | Filing Date | Filed Herewith |
| 10.1+ | Transition Agreement dated January 21, 2026 | 8-K | 001-39050 | 10.1 | 1/21/2026 | |
| 10.2+* | Offer Letter with Doug Bland, dated April 15, 2026 | 8-K | 001-39050 | 10.1 | 4/17/2026 | |
| 10.3+ | Amended and Restated 2021 Inducement Equity Incentive Plan, and Form of RSU Award Agreement | 8-K | 001-39050 | 10.2 | 4/17/2026 | |
| 10.4+ | Form of Performance-Based RSU Award Agreement under the Amended and Restated 2021 Inducement Equity Incentive Plan | 8-K | 001-39050 | 10.3 | 4/17/2026 | |
| 10.5+ | Office of CEO Employment Letter with Gaurav Rana, dated April 4, 2026 | x | ||||
| 10.6+ | Office of CEO Employment Letter with Kathleen Layton, dated April 4, 2026 | x | ||||
| 31.1 | Rule 13a-14(a)/15d-14(a) Certification of the Chief Executive Officer and Director of Oportun Financial Corporation | x | ||||
| 31.2 | Rule 13a-14(a)/15d-14(a) Certification of the Principal Financial Officer, Principal Accounting Officer and SVP, Finance - Controller of Oportun Financial Corporation | x | ||||
| 32.1** | Section 1350 Certifications | x | ||||
| 101 | Interactive data files pursuant to Rule 405 of Regulation S-T: | |||||
| (i) Condensed Consolidated Balance Sheets, | ||||||
| (ii) Condensed Consolidated Statements of Operations and Comprehensive Income, | ||||||
| (iii) Condensed Consolidated Statements of Changes in Stockholders' Equity, | ||||||
| (iv) Condensed Consolidated Statements of Cash Flows, and | ||||||
| (v) Notes to the Condensed Consolidated Financial Statements | ||||||
| 104 | Cover Page Interactive Data File in Inline XBRL format (Included in Exhibit 101). | |||||
- Certain portions of this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The registrant agrees to furnish supplementally to the SEC a copy of any omitted schedule or exhibit upon request by the SEC.
- Management contract or compensatory plan.
** The certifications attached as Exhibit 32.1 that accompany this Quarterly Report on Form 10-Q are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing.
The instance document does not appear in the interactive data file because its XBRL tags are embedded within the Inline XBRL document.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.