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