0001104659-19-051392.txt : 20190925 0001104659-19-051392.hdr.sgml : 20190925 20190925210613 ACCESSION NUMBER: 0001104659-19-051392 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190925 FILED AS OF DATE: 20190925 DATE AS OF CHANGE: 20190925 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MADRONE CAPITAL PARTNERS, LLC CENTRAL INDEX KEY: 0001789147 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39050 FILM NUMBER: 191115369 BUSINESS ADDRESS: STREET 1: 1149 CHESTNUT STREET, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (650) 843-5000 MAIL ADDRESS: STREET 1: 1149 CHESTNUT STREET, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Madrone Partners, L.P. CENTRAL INDEX KEY: 0001545458 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39050 FILM NUMBER: 191115370 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD, SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-8300 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Oportun Financial Corp CENTRAL INDEX KEY: 0001538716 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 453361983 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1600 SEAPORT BLVD., SUITE 250 CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: (650) 391-0214 MAIL ADDRESS: STREET 1: 1600 SEAPORT BLVD., SUITE 250 CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: Progreso Financiero Holdings, Inc. DATE OF NAME CHANGE: 20120104 3 1 a3.xml 3 X0206 3 2019-09-25 0 0001538716 Oportun Financial Corp OPRT 0001545458 Madrone Partners, L.P. 1149 CHESTNUT STREET, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001789147 MADRONE CAPITAL PARTNERS, LLC 1149 CHESTNUT STREET, SUITE 200 MENLO PARK CA 94025 0 0 1 0 Series B-1 Preferred Stock Common Stock 93121 D Series C-1 Preferred Stock Common Stock 42666 D Series D-1 Preferred Stock Common Stock 638279 D Series E-1 Preferred Stock Common Stock 78546 D Series F Preferred Stock Common Stock 542457 D Series F-1 Preferred Stock Common Stock 2281292 D Series G Preferred Stock Common Stock 409504 D Each share of the issuer's Series B-1 Preferred Stock will automatically convert into .1056056 shares of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. All shares of the issuer's Common Stock (including fractions thereof) issuable upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof shall be aggregated. No fractional share shall be issued upon this conversion. Each share of the issuer's Series C-1 Preferred Stock will automatically convert into 1.789396 shares of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. All shares of the issuer's Common Stock (including fractions thereof) issuable upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof shall be aggregated. No fractional share shall be issued upon this conversion. Each share of the issuer's Series D-1 Preferred Stock will automatically convert into 1.789396 shares of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. All shares of the issuer's Common Stock (including fractions thereof) issuable upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof shall be aggregated. No fractional share shall be issued upon this conversion. Each share of the issuer's Series E-1 Preferred Stock will automatically convert into 1.9291389 shares of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. All shares of the issuer's Common Stock (including fractions thereof) issuable upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof shall be aggregated. No fractional share shall be issued upon this conversion. Each share of the issuer's Series F Preferred Stock will automatically convert into 2.697117 shares of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. All shares of the issuer's Common Stock (including fractions thereof) issuable upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof shall be aggregated. No fractional share shall be issued upon this conversion. Each share of the issuer's Series F-1 Preferred Stock will automatically convert into 1 shares of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. All shares of the issuer's Common Stock (including fractions thereof) issuable upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof shall be aggregated. No fractional share shall be issued upon this conversion. Each share of the issuer's Series G Preferred Stock will automatically convert into 1.48169754117647 shares of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. All shares of the issuer's Common Stock (including fractions thereof) issuable upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof shall be aggregated. No fractional share shall be issued upon this conversion. The shares are held by Madrone Partners, L.P. Madrone Capital Partners, LLC ("MCP") is the general partner of Madrone Partners, L.P. and may be deemed to have voting and dispositive power over the shares held by Madrone Partners, L.P. MCP disclaims beneficial ownership over the shares held by Madrone Partners, L.P. except to the extent of its pecuniary interest therein. Madrone Partners, L.P. By: Madrone Capital Partners, LLC Its: General Partner By: /s/ Thomas Patterson, Manager 2019-09-25 Madrone Capital Partners, LLC By: /s/ Thomas Patterson, Manager 2019-09-25