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