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Filing Details

Accession Number:: 0001104659-19-052671
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-10-02 18:15:13
Reporting Period:: 2019-09-30

Accepted Time:: 2019-10-02 18:15:13
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1538716	Oportun Financial Corp	OPRT	Finance Services (6199)	453361983

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1545458	Madrone Partners, L.p.	1149 Chestnut Street, Suite 200 Menlo Park CA 94025		No	No	Yes	No
1789147	Madrone Capital Partners, Llc	1149 Chestnut Street, Suite 200 Menlo Park CA 94025		No	No	Yes	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	4,085,865	$0.00	4,085,865	No	4	C	Direct
Common Stock	Disposition	2019-09-30	1,976,455	$15.00	2,109,410	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B-1 Preferred Stock	Disposition	2019-09-30	84,227	$0.00	93,121	$0.00
Common Stock	Series C-1 Preferred Stock	Disposition	2019-09-30	23,884	$0.00	42,666	$0.00
Common Stock	Series D-1 Preferred Stock	Disposition	2019-09-30	356,701	$0.00	638,279	$0.00
Common Stock	Series E-1 Preferred Stock	Disposition	2019-09-30	40,716	$0.00	78,546	$0.00
Common Stock	Series F Preferred Stock	Disposition	2019-09-30	20,125	$0.00	542,457	$0.00
Common Stock	Series F-1 Preferred Stock	Disposition	2019-09-30	2,281,292	$0.00	2,281,292	$0.00
Common Stock	Series G Preferred Stock	Disposition	2019-09-30	276,375	$0.00	409,504	$0.00

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

Footnotes

In connection with the closing of the issuer's initial public offering on September 30, 2019, each share of the issuer's Series B-1 Preferred Stock automatically converted into 1.1056056 shares of the issuer's Common Stock, each share of the issuer's Series C-1 Preferred Stock automatically converted into 1.789396 shares of the issuer's Common Stock, each share of the issuer's Series D-1 Preferred Stock automatically converted into 1.789396 shares of the issuer's Common Stock, each share of the issuer's Series E-1 Preferred Stock automatically converted into 1.9291389 shares of the issuer's Common Stock, each share of the issuer's Series F Preferred Stock automatically converted into 2.697117 shares of the issuer's Common Stock, each share of the issuer's Series F-1 Preferred Stock automatically converted into 1 share of the issuer's Common Stock and each share of the issuer's Series G Preferred Stock automatically converted into 1.48169754117647 shares of the issuer's Common Stock.
(Continued from footnote 1) and such shares had no expiration date. All shares of Common Stock (including fractions thereof) issued upon conversion of more than one share of the issuer's Preferred Stock by a holder thereof were aggregated. No fractional shares were issued upon this conversion.
The shares are held by Madrone Partners, L.P. Madrone Capital Partners, LLC ("MCP") is the general partner of Madrone Partners, L.P. and may be deemed to have voting and dispositive power over the shares held by Madrone Partners, L.P. MCP disclaims beneficial ownership over the shares held by Madrone Partners, L.P. except to the extent of its pecuniary interest therein.