0000899243-19-024541.txt : 20191001
0000899243-19-024541.hdr.sgml : 20191001
20191001204932
ACCESSION NUMBER: 0000899243-19-024541
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191001
DATE AS OF CHANGE: 20191001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Institutional Venture Management XIV, LLC
CENTRAL INDEX KEY: 0001550304
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191130650
BUSINESS ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: BUILDING 2, SUITE 250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: (650) 854-0132
MAIL ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: BUILDING 2, SUITE 250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Institutional Venture Partners XIV, L.P.
CENTRAL INDEX KEY: 0001550180
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191130651
BUSINESS ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: BUILDING 2, SUITE 250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: (650) 854-0132
MAIL ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: BUILDING 2, SUITE 250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FOGELSONG NORMAN A
CENTRAL INDEX KEY: 0001140932
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191130652
MAIL ADDRESS:
STREET 1: C/O IVP
STREET 2: 3000 SAND HILL ROAD, 2-250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Harrick Stephen J
CENTRAL INDEX KEY: 0001299975
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191130653
MAIL ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: 2-250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Phelps Dennis B
CENTRAL INDEX KEY: 0001299965
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191130654
MAIL ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: 2-250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Chaffee Todd C
CENTRAL INDEX KEY: 0001300134
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191130655
MAIL ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: 2-250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Miller J Sanford
CENTRAL INDEX KEY: 0001359524
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191130656
MAIL ADDRESS:
STREET 1: 3000 SAND HILL ROAD
STREET 2: BUILDING 2, SUITE 250
CITY: MENLO PARK
STATE: CA
ZIP: 94025
FORMER NAME:
FORMER CONFORMED NAME: Miller J Sanford (Sandy)
DATE OF NAME CHANGE: 20060414
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-09-30
0
0001538716
Oportun Financial Corp
OPRT
0001550304
Institutional Venture Management XIV, LLC
3000 SAND HILL ROAD
BUILDING 2, SUITE 250
MENLO PARK
CA
94025
0
0
1
0
0001550180
Institutional Venture Partners XIV, L.P.
3000 SAND HILL ROAD
BUILDING 2, SUITE 250
MENLO PARK
CA
94025
0
0
1
0
0001140932
FOGELSONG NORMAN A
3000 SAND HILL ROAD
BUILDING 2, SUITE 250
MENLO PARK
CA
94025
0
0
1
0
0001299975
Harrick Stephen J
3000 SAND HILL ROAD
BUILDING 2, SUITE 250
MENLO PARK
CA
94025
0
0
1
0
0001299965
Phelps Dennis B
3000 SAND HILL ROAD
BUILDING 2, SUITE 250
MENLO PARK
CA
94025
0
0
1
0
0001300134
Chaffee Todd C
3000 SAND HILL ROAD
BUILDING 2, SUITE 250
MENLO PARK
CA
94025
0
0
1
0
0001359524
Miller J Sanford
3000 SAND HILL ROAD
BUILDING 2, SUITE 250
MENLO PARK
CA
94025
0
0
1
0
Common Stock
2019-09-30
4
C
0
3529410
A
3529410
I
By Institutional Venture Partners XIV, L.P.
Common Stock
2019-09-30
4
C
0
319281
A
3848691
I
By Institutional Venture Partners XIV, L.P.
Series G Convertible Preferred Stock
2019-09-30
4
C
0
2382005
0.00
D
Common Stock
3529410
0
I
By Institutional Venture Partners XIV, L.P.
Series H Convertible Preferred Stock
2019-09-30
4
C
0
319281
0.00
D
Common Stock
319281
0
I
By Institutional Venture Partners XIV, L.P.
The shares of Series G Convertible Preferred Stock and Series H Convertible Preferred Stock had no expiration date and were convertible at any time at the election of the holder and automatically converted into shares of Common Stock in connection with the Issuer's initial public offering ("IPO").
Each share of the Issuer's Series G Convertible Preferred Stock automatically converted 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.
Each share of the Issuer's Series H Convertible Preferred Stock automatically converted into one share 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 securities are held by Institutional Venture Partners XIV, L.P. ("IVP XIV").
Institutional Venture Management XIV, LLC ("IVM XIV") is the General Partner of IVP XIV. IVM XIV may be deemed to indirectly beneficially own the securities owned by IVP XIV. Norman A. Fogelsong, Stephen J. Harrick, Dennis B. Phelps, Jr., Todd C. Chaffee and J. Sanford Miller are Managing Directors of IVM XIV and each share voting and dispositive power over the securities held by IVP XIV. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein.
Institutional Venture Management XIV, LLC, By: /s/ Norman A. Fogelsong
2019-10-01
Institutional Venture Partners XIV, L.P., By: Institutional Venture Management XIV, LLC, its General Partner, By: /s/ Norman A. Fogelsong
2019-10-01
/s/ Norman A. Fogelsong
2019-10-01
/s/ Stephen J. Harrick
2019-10-01
/s/ Dennis B. Phelps, Jr.
2019-10-01
/s/ Todd C. Chaffee
2019-10-01
/s/ J. Sanford Miller
2019-10-01