Greylock XII GP LLC 4

Accession 0000899243-19-024436

CIK 0001538716other

View on SEC.gov Company Profile

Filed

Sep 30, 8:00 PM ET

Accepted

Oct 1, 6:10 AM ET

Size

48.1 KB

Accession

0000899243-19-024436

Insider Transaction Report

Form 4

Period: 2019-09-30

Oportun Financial CorpOPRT

Greylock XII GP LLC

10% Owner

Transactions

Conversion
Series B-1 Preferred Stock
2019-09-30−181,066→ 0 total(indirect: By Partnership)
→ Common Stock (181,066 underlying)
Conversion
Series F-1 Preferred Stock
2019-09-30−872,190→ 0 total(indirect: By Partnership)
→ Common Stock (872,190 underlying)
Conversion
Common Stock
2019-09-30+288,462→ 288,462 total(indirect: By Partnership)
Conversion
Series C-1 Preferred Stock
2019-09-30−93,680→ 0 total(indirect: By Partnership)
→ Common Stock (93,680 underlying)
Conversion
Series F Preferred Stock
2019-09-30−577,865→ 0 total(indirect: By Partnership)
→ Common Stock (577,865 underlying)
Conversion
Series B-1 Preferred Stock
2019-09-30−20,117→ 0 total(indirect: By Partnership)
→ Common Stock (20,117 underlying)
Conversion
Series C-1 Preferred Stock
2019-09-30−10,408→ 0 total(indirect: By Partnership)
→ Common Stock (10,408 underlying)
Conversion
Series F-1 Preferred Stock
2019-09-30−96,910→ 0 total(indirect: By Partnership)
→ Common Stock (96,910 underlying)
Conversion
Common Stock
2019-09-30+2,596,241→ 2,596,241 total(indirect: By Partnership)
Conversion
Series D-1 Preferred Stock
2019-09-30−401,270→ 0 total(indirect: By Partnership)
→ Common Stock (401,270 underlying)
Conversion
Series D-1 Preferred Stock
2019-09-30−44,584→ 0 total(indirect: By Partnership)
→ Common Stock (44,584 underlying)
Conversion
Series E-1 Preferred Stock
2019-09-30−31,084→ 0 total(indirect: By Partnership)
→ Common Stock (31,084 underlying)
Conversion
Series F Preferred Stock
2019-09-30−64,204→ 0 total(indirect: By Partnership)
→ Common Stock (64,204 underlying)
Conversion
Series G Preferred Stock
2019-09-30−21,155→ 0 total(indirect: By Partnership)
→ Common Stock (21,155 underlying)
Conversion
Series E-1 Preferred Stock
2019-09-30−279,759→ 0 total(indirect: By Partnership)
→ Common Stock (279,759 underlying)
Conversion
Series G Preferred Stock
2019-09-30−190,411→ 0 total(indirect: By Partnership)
→ Common Stock (190,411 underlying)

Greylock XII Limited Partnership

10% Owner

Transactions

Conversion
Common Stock
2019-09-30+288,462→ 288,462 total(indirect: By Partnership)
Conversion
Common Stock
2019-09-30+2,596,241→ 2,596,241 total(indirect: By Partnership)
Conversion
Series B-1 Preferred Stock
2019-09-30−181,066→ 0 total(indirect: By Partnership)
→ Common Stock (181,066 underlying)
Conversion
Series E-1 Preferred Stock
2019-09-30−279,759→ 0 total(indirect: By Partnership)
→ Common Stock (279,759 underlying)
Conversion
Series F Preferred Stock
2019-09-30−577,865→ 0 total(indirect: By Partnership)
→ Common Stock (577,865 underlying)
Conversion
Series C-1 Preferred Stock
2019-09-30−10,408→ 0 total(indirect: By Partnership)
→ Common Stock (10,408 underlying)
Conversion
Series E-1 Preferred Stock
2019-09-30−31,084→ 0 total(indirect: By Partnership)
→ Common Stock (31,084 underlying)
Conversion
Series F-1 Preferred Stock
2019-09-30−96,910→ 0 total(indirect: By Partnership)
→ Common Stock (96,910 underlying)
Conversion
Series D-1 Preferred Stock
2019-09-30−401,270→ 0 total(indirect: By Partnership)
→ Common Stock (401,270 underlying)
Conversion
Series C-1 Preferred Stock
2019-09-30−93,680→ 0 total(indirect: By Partnership)
→ Common Stock (93,680 underlying)
Conversion
Series F-1 Preferred Stock
2019-09-30−872,190→ 0 total(indirect: By Partnership)
→ Common Stock (872,190 underlying)
Conversion
Series G Preferred Stock
2019-09-30−190,411→ 0 total(indirect: By Partnership)
→ Common Stock (190,411 underlying)
Conversion
Series B-1 Preferred Stock
2019-09-30−20,117→ 0 total(indirect: By Partnership)
→ Common Stock (20,117 underlying)
Conversion
Series D-1 Preferred Stock
2019-09-30−44,584→ 0 total(indirect: By Partnership)
→ Common Stock (44,584 underlying)
Conversion
Series F Preferred Stock
2019-09-30−64,204→ 0 total(indirect: By Partnership)
→ Common Stock (64,204 underlying)
Conversion
Series G Preferred Stock
2019-09-30−21,155→ 0 total(indirect: By Partnership)
→ Common Stock (21,155 underlying)

Greylock XII-A Limited Partnership

10% Owner

Transactions

Conversion
Series C-1 Preferred Stock
2019-09-30−93,680→ 0 total(indirect: By Partnership)
→ Common Stock (93,680 underlying)
Conversion
Series G Preferred Stock
2019-09-30−190,411→ 0 total(indirect: By Partnership)
→ Common Stock (190,411 underlying)
Conversion
Series F Preferred Stock
2019-09-30−64,204→ 0 total(indirect: By Partnership)
→ Common Stock (64,204 underlying)
Conversion
Series G Preferred Stock
2019-09-30−21,155→ 0 total(indirect: By Partnership)
→ Common Stock (21,155 underlying)
Conversion
Common Stock
2019-09-30+2,596,241→ 2,596,241 total(indirect: By Partnership)
Conversion
Series E-1 Preferred Stock
2019-09-30−279,759→ 0 total(indirect: By Partnership)
→ Common Stock (279,759 underlying)
Conversion
Common Stock
2019-09-30+288,462→ 288,462 total(indirect: By Partnership)
Conversion
Series C-1 Preferred Stock
2019-09-30−10,408→ 0 total(indirect: By Partnership)
→ Common Stock (10,408 underlying)
Conversion
Series E-1 Preferred Stock
2019-09-30−31,084→ 0 total(indirect: By Partnership)
→ Common Stock (31,084 underlying)
Conversion
Series B-1 Preferred Stock
2019-09-30−181,066→ 0 total(indirect: By Partnership)
→ Common Stock (181,066 underlying)
Conversion
Series D-1 Preferred Stock
2019-09-30−401,270→ 0 total(indirect: By Partnership)
→ Common Stock (401,270 underlying)
Conversion
Series F Preferred Stock
2019-09-30−577,865→ 0 total(indirect: By Partnership)
→ Common Stock (577,865 underlying)
Conversion
Series F-1 Preferred Stock
2019-09-30−872,190→ 0 total(indirect: By Partnership)
→ Common Stock (872,190 underlying)
Conversion
Series B-1 Preferred Stock
2019-09-30−20,117→ 0 total(indirect: By Partnership)
→ Common Stock (20,117 underlying)
Conversion
Series D-1 Preferred Stock
2019-09-30−44,584→ 0 total(indirect: By Partnership)
→ Common Stock (44,584 underlying)
Conversion
Series F-1 Preferred Stock
2019-09-30−96,910→ 0 total(indirect: By Partnership)
→ Common Stock (96,910 underlying)

Footnotes (4)

[F1]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,
[F2](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.
[F3]The shares are held directly by Greylock XII Limited Partnership ("Greylock XII LP"). Greylock XII GP Limited Liability Company ("Greylock XII GP") is the sole General Partner of Greylock XII LP and may be deemed to share voting and dispositive power with respect to the shares held by Greylock XII LP. Greylock XII GP disclaims beneficial ownership of the securities held by Greylock XII LP except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission by Greylock XII GP of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
[F4]The shares are held directly by Greylock XII-A Limited Partnership ("Greylock XII-A LP"). Greylock XII GP is the sole General Partner of Greylock XII-A LP and may be deemed to share voting and dispositive power with respect to the shares held by Greylock XII-A LP. Greylock XII GP disclaims beneficial ownership of the securities held by Greylock XII-A LP except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission by Greylock XII GP of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Oportun Financial Corp

CIK 0001538716

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001413877

Filing Metadata

Form type: 4
Filed: Sep 30, 8:00 PM ET
Accepted: Oct 1, 6:10 AM ET
Size: 48.1 KB

View on SEC.gov