0001104659-19-052146.txt : 20190930
0001104659-19-052146.hdr.sgml : 20190930
20190930215311
ACCESSION NUMBER: 0001104659-19-052146
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20190930
DATE AS OF CHANGE: 20190930
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PASCARELLA CARL
CENTRAL INDEX KEY: 0001251447
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39050
FILM NUMBER: 191127389
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
a4.xml
4
X0306
4
2019-09-30
0
0001538716
Oportun Financial Corp
OPRT
0001251447
PASCARELLA CARL
C/O OPORTUN FINANCIAL CORPORATION
2 CIRCLE STAR WAY
SAN CARLOS
CA
94070
1
0
0
0
Common Stock
18750
D
Common Stock
2019-09-30
4
C
0
157992
A
157992
I
See footnote
Common Stock
2019-09-30
4
C
0
84336
A
242328
I
See footnote
Common Stock
2019-09-30
4
C
0
111185
A
353513
I
See footnote
Common Stock
2019-09-30
4
C
0
135342
A
488857
I
See footnote
Common Stock
2019-09-30
4
S
0
240000
15
D
248857
I
See footnote
Series D-1 Convertible Preferred Stock
2019-09-30
4
C
0
88294
0
D
Common Stock
157992
0
I
See footnote
Series E-1 Convertible Preferred Stock
2019-09-30
4
C
0
43717
0
D
Common Stock
84336
0
I
See footnote
Series F Convertible Preferred Stock
2019-09-30
4
C
0
41224
0
D
Common Stock
111185
0
I
See footnote
Series G Preferred Stock
2019-09-30
4
C
0
91343
0
D
Common Stock
135342
0
I
See footnote
Each share of Series D-1 Convertible Preferred Stock ("Series D-1") had no expiration date and converted into 1.789396 shares of Common Stock immediately upon the consummation of the Issuer's Initial Public Offering ("IPO"), with all fractional shares converting into Common Stock on an aggregate basis.
The shares are held by TPG Progress L.P. Mr. Pascarella is an advisor for TPG Growth, an affiliate of TPG Progress L.P. The general partner of TPG Progress L.P. is Tarrant Advisors Inc. David Bonderman and James Coulter are the managing directors of Tarrant Advisors Inc. and may be deemed to share voting and dispositive power with respect to the shares held by TPG Progress L.P. Mr. Pascarella disclaims beneficial ownership of the shares held by TPG Progress L.P., except to the extent of any proportionate pecuniary interest therein.
Each share of Series E-1 Convertible Preferred Stock ("Series E-1) had no expiration date and converted into 1.9291389 shares of Common Stock immediately upon the consummation of the Issuer's IPO, with all fractional shares converting into Common Stock on an aggregate basis.
Each share of Series F Convertible Preferred Convertible Stock ("Series F") had no expiration date and converted into 2.697117 shares of Common Stock immediately upon the consummation of the Issuer's IPO, with all fractional shares converting into Common Stock on an aggregate basis.
Each share of Series G Convertible Preferred Stock ("Series G") had no expiration date and converted into 1.48169754120 shares of Common Stock immediately upon the consummation of the Issuer's IPO, with all fractional shares converting into Common Stock on an aggregate basis.
Includes two (2) shares of Common Stock that comprise the fractional shares of the Series D-1, Series E-1, Series F and Series G Preferred Stock that were converted to Common Stock on an aggregate basis.
/s/ Kathleen Layton (Attorney-in-Fact)
2019-09-30