OppFi Inc
For the period ended Dec 31, 2024. Filed Mar 11, 2025.
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FY2024 · Filed Mar 11, 2025
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Item 9B. Other Information
Securities Trading Plans of Directors and Executive Officers
On November 18, 2024, Ms. Jocelyn Moore, a member of the Company’s Board of Directors, adopted a trading arrangement for the sale of the Company’s Class A Common Stock (a “Rule 10b5-1 Trading Plan”) that is intended to satisfy the affirmative defense conditions of Securities Exchange Act Rule 10b5-1(c). The Rule 10b5-1 Trading Plan provides for the sale of up to 24,664 shares of Class A Common Stock pursuant to the terms of the Rule 10b5-1 Trading Plan beginning in June 2025 and ending in November 2025.
On December 10, 2024, Mr. Theodore Schwartz, a member of the Company’s Board of Directors, adopted a Rule 10b5-1 Trading Plan that is intended to satisfy the affirmative defense conditions of Securities Exchange Act Rule 10b5-1(c). The Rule 10b5-1 Trading Plan provides for the sale of up to 3,000,000 shares of Class A Common Stock pursuant to the terms of the Rule 10b5-1 Trading Plan beginning in March 2025 and ending in March 2026.
On December 10, 2024, Mr. Chris McKay, the Company’s Chief Risk and Analytics Officer, adopted a Rule 10b5-1 Trading Plan that is intended to satisfy the affirmative defense conditions of Securities Exchange Act Rule 10b5-1(c). The Rule 10b5-1 Trading Plan provides for the sale of up to 83,645 shares of Class A Common Stock pursuant to the terms of the Rule 10b5-1 Trading Plan beginning in April 2025 and ending in December 2025.
With the exception of Ms. Moore, Mr. Schwartz and Mr. McKay, during the quarter ended December 31, 2024, no other directors or officers (as defined in Rule 16a-1(f) of the Exchange Act) informed us of theadoption ortermination of a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” each as defined in Item 408 of Regulation S-K.
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