SC 13G: Oportun Financial Corp

AI Summary

SC 13G filing by Oportun Financial Corp.

Risk Assessment

Risk Level: low

FAQ

Filing Documents

• oportun_13g.htm (SC 13G) — 128KB
• ex_1.htm (EX-1) — 13KB
• 0001019056-24-000139.txt ( ) — 142KB

If

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) o Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) o Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) o Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) x An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); (f) o An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); (g) o A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); (h) o A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) o A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) o Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Ownership

Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. The information required by Items 4(a) - (c) is set forth in Rows (5) - (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person. Such information is as of the close of business on April 9, 2024. Long Focus Capital Management, LLC, John B. Helmers, and A. Glenn Helmers directly own no Common Stock. Pursuant to an investment management agreement, Long Focus Capital Management, LLC maintains investment and voting power with respect to the securities held by Long Focus Capital Master, Ltd. John B. Helmers controls Long Focus Capital Management, LLC, and has investment and voting power with respect to Condagua, LLC. A. Glenn Helmers controls Condagua, LLC. Instruction . For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1). CUSIP No. 68376D104 13G Page 9 of 10 Pages

Ownership

Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial Instruction . Dissolution of a group requires a response to this item. NOT APPLICABLE

Ownership

Item 6. Ownership of More than Five Percent on Behalf of Another Person. NOT APPLICABLE

Identification

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. NOT APPLICABLE

Identification

Item 8. Identification and Classification of Members of the Group. NOT APPLICABLE

Notice

Item 9. Notice of Dissolution of Group. NOT APPLICABLE

Certification

Item 10. Certification. (a) The following certification shall be included if the statement is filed pursuant to §240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. (b) The following certification shall be included if the statement is filed pursuant to §240.13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP No. 68376D104 13G Page 10 of 10 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: April 17, 2024 LONG FOCUS CAPITAL MANAGEMENT, LLC /s/ John B. Helmers John B. Helmers/Managing Member LONG FOCUS CAPITAL MASTER, LTD. BY: LONG FOCUS CAPITAL MANAGEMENT, LLC ITS: INVESTMENT ADVISER /s/ John B. Helmers John B. Helmers/Managing Member CONDAGUA, LLC /s/ A. Glenn Helmers A. Glenn Helmers/Managing Member JOHN B. HELMERS /s/ John B. Helmers John B. Helmers A. GLENN HELMERS /s/ A. Glenn Helmers A. Glenn Helmers

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