0001209191-22-057143.txt : 20221115 0001209191-22-057143.hdr.sgml : 20221115 20221115182332 ACCESSION NUMBER: 0001209191-22-057143 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221111 FILED AS OF DATE: 20221115 DATE AS OF CHANGE: 20221115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWARTZ THEODORE G CENTRAL INDEX KEY: 0001001874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39550 FILM NUMBER: 221392487 MAIL ADDRESS: STREET 1: C/O APAC CUSTOMER SERVICES, INC. STREET 2: SIX PARKWAY NORTH CITY: DEERFIELD STATE: IL ZIP: 60015 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OppFi Inc. CENTRAL INDEX KEY: 0001818502 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 851648122 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 130 E. RANDOLPH STREET STREET 2: SUITE 3400 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: (312) 212-8079 MAIL ADDRESS: STREET 1: 130 E. RANDOLPH STREET STREET 2: SUITE 3400 CITY: CHICAGO STATE: IL ZIP: 60601 FORMER COMPANY: FORMER CONFORMED NAME: FG New America Acquisition Corp. DATE OF NAME CHANGE: 20200717 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-11-11 0 0001818502 OppFi Inc. OPFI 0001001874 SCHWARTZ THEODORE G ONE NORTH WACKER DRIVE, SUITE 3605 CHICAGO IL 60606 1 0 1 0 Class A Common Stock 2022-11-11 4 P 0 7000 2.105 A 346393 I By LTHS Revocable Trust Class A Common Stock 2022-11-14 4 P 0 6900 2.1451 A 353293 I By LTHS Revocable Trust Class V Common Stock 33726877 I By OppFi Shares, LLC The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions with prices ranging from $2.02 to $2.13 for a weighted average sale price of $2.105. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. All shares were purchased in accordance with the daily volume and other limitations and requirements of Rule 10b-18. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions with prices ranging from $2.06 to $2.20 for a weighted average sale price of $2.1451. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. All shares were purchased in accordance with the daily volume and other limitations and requirements of Rule 10b-18. Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of the issuer represent voting, non-economic interests in the issuer. Except as provided in the issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the issuer's stockholders generally. The shares of Class V Common Stock will be cancelled by the issuer if the reporting person exercises (or causes LTHS Capital Group LP to exercise) its right to exchange Class A common units of Opportunity Financial, LLC ("Opportunity Financial") for either one share of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the issuer or, at the election of the issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock ("Exchange Rights"). Represents shares of Class V Common Stock that the reporting person (or LTHS Capital Group LP) has the right to acquire pursuant to Exchange Rights with respect to an equivalent number of Class A common units of Opportunity Financial. Includes 8,867,405 shares of Class V Common Stock subject to certain restrictions and potential forfeiture pending the achievement of certain earnout targets. The shares of Class V Common Stock are held by OppFi Shares, LLC ("OFS"), which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. The reporting person has the indirect right to cause OFS to dispose of the shares of Class V Common Stock reported in Table I hereof to the issuer pursuant to the reporting person's (or LTHS Capital Group LP's) Exchange Rights. /s/ Marv Gurevich, Esq., as attorney-in-fact for Theodore G. Schwartz 2022-11-15