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Filing Details

Accession Number:: 0001104659-19-052146
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-09-30 21:53:11
Reporting Period:: 2019-09-30

Accepted Time:: 2019-09-30 21:53:11
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1538716	Oportun Financial Corp	OPRT	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1251447	Carl Pascarella	C/O Oportun Financial Corporation 2 Circle Star Way San Carlos CA 94070		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2019-09-30	157,992	$0.00	157,992	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2019-09-30	84,336	$0.00	242,328	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2019-09-30	111,185	$0.00	353,513	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2019-09-30	135,342	$0.00	488,857	No	4	C	Indirect	See footnote
Common Stock	Disposition	2019-09-30	240,000	$15.00	248,857	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series D-1 Convertible Preferred Stock	Disposition	2019-09-30	88,294	$0.00	157,992	$0.00
Common Stock	Series E-1 Convertible Preferred Stock	Disposition	2019-09-30	43,717	$0.00	84,336	$0.00
Common Stock	Series F Convertible Preferred Stock	Disposition	2019-09-30	41,224	$0.00	111,185	$0.00
Common Stock	Series G Preferred Stock	Disposition	2019-09-30	91,343	$0.00	135,342	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	18,750	Direct

Footnotes

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.