Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OppFi Inc.OPFI · Entity 1051 | Director | January 06, 2022 | January 11, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
OppFi Inc.
Report date January 06, 2022 · Filed January 11, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class V Common StockSEC Table I · non-derivative | IndirectBy OppFi Shares, LLC | 8,407,879 |
Reported balance
After 2022-01-06 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-01-06 · Disposition to issuer · Disposed 54,156 · Balance 8,407,879 F1: Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of OppFi Inc. (the "Issuer") represent voting, non-economic interests in the Issuer. Except as provided in the Issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the Issuer's stockholders generally. The shares of Class V Common Stock will be cancelled by the Issuer if the reporting person exercises (or causes OppFi Management Holdings, LLC ("OFMH") to exercise) Exchange Rights (as defined below in footnote 5). F2: In connection with the forfeiture of 54,156 unvested Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial"), the reporting person is deemed to have forfeited the indirect right to cause OppFi Shares, LLC ("OFS") to dispose of 54,156 shares of Class V Common Stock to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. F3: Includes 2,210,608 shares of Class V Common Stock subject to forfeiture in the event that the Earnout Units (as defined below in footnote 6) are not earned. F4: The shares of Class V Common Stock are held by OFS, which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. The reporting person has the indirect right to cause OFS to dispose of the shares of Class V Common Stock reported in Table I hereof to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. |
| Class A Common UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy OppFi Management Holdings, LLC | 7,627,577 |
Reported balance
After 2022-01-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-01-06 · Disposition to issuer · Disposed 54,156 · Balance 7,627,577 F5: Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock, following the expiration of a lock-up period of up to 9-months from July 20, 2021 (the "Exchange Rights"). F2: In connection with the forfeiture of 54,156 unvested Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial"), the reporting person is deemed to have forfeited the indirect right to cause OppFi Shares, LLC ("OFS") to dispose of 54,156 shares of Class V Common Stock to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. F8: Includes 2,005,450 Earnout Units. F9: These Common Units are held by OFMH, of which the reporting person is a member. OFMH is a member of Opportunity Financial. Pursuant to the terms of the Amended and Restated Limited Liability Company Agreement of OFMH, the reporting person has the right to cause OFMH to exercise for the benefit of the reporting person OFMH's Exchange Rights with respect to the Common Units indirectly held by the reporting person. |
| Class A Common UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy JSK Management Holdings, LLC | 780,302 |
Reported balance
Holding disclosure · report date 2022-01-06 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 780,302 F5: Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock, following the expiration of a lock-up period of up to 9-months from July 20, 2021 (the "Exchange Rights"). F6: Includes 205,158 Common Units subject to certain restrictions and potential forfeiture pending the achievement of certain earnout targets prior to July 20, 2024 ("Earnout Units"), pursuant to the terms of that certain Business Combination Agreement, dated February 9, 2021, by and among the Issuer, Opportunity Financial, OFS and the representative of the members of Opportunity Financial. Exchange Rights may not be exercised with respect to Earnout Units unless and until such Earnout Units vest. F7: The reporting person is the sole member of JSK Management Holdings, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of OppFi Inc. (the "Issuer") represent voting, non-economic interests in the Issuer. Except as provided in the Issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the Issuer's stockholders generally. The shares of Class V Common Stock will be cancelled by the Issuer if the reporting person exercises (or causes OppFi Management Holdings, LLC ("OFMH") to exercise) Exchange Rights (as defined below in footnote 5).
F2: In connection with the forfeiture of 54,156 unvested Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial"), the reporting person is deemed to have forfeited the indirect right to cause OppFi Shares, LLC ("OFS") to dispose of 54,156 shares of Class V Common Stock to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights.
F3: Includes 2,210,608 shares of Class V Common Stock subject to forfeiture in the event that the Earnout Units (as defined below in footnote 6) are not earned.
F4: The shares of Class V Common Stock are held by OFS, which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. The reporting person has the indirect right to cause OFS to dispose of the shares of Class V Common Stock reported in Table I hereof to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights.
F5: Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock, following the expiration of a lock-up period of up to 9-months from July 20, 2021 (the "Exchange Rights").
F6: Includes 205,158 Common Units subject to certain restrictions and potential forfeiture pending the achievement of certain earnout targets prior to July 20, 2024 ("Earnout Units"), pursuant to the terms of that certain Business Combination Agreement, dated February 9, 2021, by and among the Issuer, Opportunity Financial, OFS and the representative of the members of Opportunity Financial. Exchange Rights may not be exercised with respect to Earnout Units unless and until such Earnout Units vest.
F7: The reporting person is the sole member of JSK Management Holdings, LLC.
F8: Includes 2,005,450 Earnout Units.
F9: These Common Units are held by OFMH, of which the reporting person is a member. OFMH is a member of Opportunity Financial. Pursuant to the terms of the Amended and Restated Limited Liability Company Agreement of OFMH, the reporting person has the right to cause OFMH to exercise for the benefit of the reporting person OFMH's Exchange Rights with respect to the Common Units indirectly held by the reporting person.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 06, 2022 Filed Jan 11, 2022 00:20 UTC | OppFi Inc. OPFI · Entity 1051 | Disposition to issuerClass A Common Units · Derivative | 54,156 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-001500 · doc4.xml · derivative · entry 3 Kaplan Jared · CIK 0001874040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By OppFi Management Holdings, LLC Disclosed balance after: 7,627,577 Underlying: Class A Common Stock · 7,627,577 shares Expires not disclosed F5 · security: Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock, following the expiration of a lock-up period of up to 9-months from July 20, 2021 (the "Exchange Rights"). F2 · shares: In connection with the forfeiture of 54,156 unvested Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial"), the reporting person is deemed to have forfeited the indirect right to cause OppFi Shares, LLC ("OFS") to dispose of 54,156 shares of Class V Common Stock to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. F5 · derivative.exercise_date: Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock, following the expiration of a lock-up period of up to 9-months from July 20, 2021 (the "Exchange Rights"). F5 · derivative.expiration_date: Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock, following the expiration of a lock-up period of up to 9-months from July 20, 2021 (the "Exchange Rights"). F8 · derivative.underlying_shares: Includes 2,005,450 Earnout Units. F8 · balance_after: Includes 2,005,450 Earnout Units. F9 · ownership.nature: These Common Units are held by OFMH, of which the reporting person is a member. OFMH is a member of Opportunity Financial. Pursuant to the terms of the Amended and Restated Limited Liability Company Agreement of OFMH, the reporting person has the right to cause OFMH to exercise for the benefit of the reporting person OFMH's Exchange Rights with respect to the Common Units indirectly held by the reporting person. Read SEC document |
| January 06, 2022 Filed Jan 11, 2022 00:20 UTC | OppFi Inc. OPFI · Entity 1051 | Disposition to issuerClass V Common Stock | 54,156 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-001500 · doc4.xml · nonDerivative · entry 1 Kaplan Jared · CIK 0001874040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By OppFi Shares, LLC Disclosed balance after: 8,407,879 F1 · security: Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of OppFi Inc. (the "Issuer") represent voting, non-economic interests in the Issuer. Except as provided in the Issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the Issuer's stockholders generally. The shares of Class V Common Stock will be cancelled by the Issuer if the reporting person exercises (or causes OppFi Management Holdings, LLC ("OFMH") to exercise) Exchange Rights (as defined below in footnote 5). F2 · kind: In connection with the forfeiture of 54,156 unvested Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial"), the reporting person is deemed to have forfeited the indirect right to cause OppFi Shares, LLC ("OFS") to dispose of 54,156 shares of Class V Common Stock to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. F2 · shares: In connection with the forfeiture of 54,156 unvested Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial"), the reporting person is deemed to have forfeited the indirect right to cause OppFi Shares, LLC ("OFS") to dispose of 54,156 shares of Class V Common Stock to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. F2 · price: In connection with the forfeiture of 54,156 unvested Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial"), the reporting person is deemed to have forfeited the indirect right to cause OppFi Shares, LLC ("OFS") to dispose of 54,156 shares of Class V Common Stock to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. F3 · balance_after: Includes 2,210,608 shares of Class V Common Stock subject to forfeiture in the event that the Earnout Units (as defined below in footnote 6) are not earned. F4 · ownership.nature: The shares of Class V Common Stock are held by OFS, which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. The reporting person has the indirect right to cause OFS to dispose of the shares of Class V Common Stock reported in Table I hereof to the Issuer pursuant to the reporting person's (or OFMH's) Exchange Rights. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 00:26 UTC | OppFi Inc. OPFI · Entity 1051 | GrantRestricted Stock Units · Derivative | 184,837 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-038939 · doc4.xml · derivative · entry 1 Kaplan Jared · CIK 0001874040 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,837 Underlying: Class A Common Stock · 184,837 shares Expires not disclosed F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents a contingent right to receive one share of OppFi Inc. Class A Common Stock, par value $0.0001 per share, and was granted pursuant to the OppFi Inc. 2021 Equity Incentive Plan (the "Plan"). 25% of the RSUs will vest on the one-year anniversary of the date of grant and the remainder will vest in equal quarterly increments over the following three years, subject to the reporting person's continued service with the issuer and the terms of the Plan. F1 · derivative.expiration_date: Each restricted stock unit ("RSU") represents a contingent right to receive one share of OppFi Inc. Class A Common Stock, par value $0.0001 per share, and was granted pursuant to the OppFi Inc. 2021 Equity Incentive Plan (the "Plan"). 25% of the RSUs will vest on the one-year anniversary of the date of grant and the remainder will vest in equal quarterly increments over the following three years, subject to the reporting person's continued service with the issuer and the terms of the Plan. Read SEC document |
| July 21, 2021 Filed Jul 23, 2021 23:44 UTC | OppFi Inc. OPFI · Entity 1051 | GrantNon-Qualified Stock Option · Derivative | 1,000,000 | $0.00 Strike: $20.00 | $0.00 |
DisclosureSEC source: 0000899243-21-029791 · doc4.xml · derivative · entry 2 Kaplan Jared · CIK 0001874040 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Class A Common Stock · 1,000,000 shares Expires not disclosed F1 · derivative.exercise_date: Non-qualified stock options (the "Options") granted pursuant to the OppFi Inc. 2021 Equity Incentive Plan, of which 25% will vest upon the one year anniversary of the date of grant and the remainder will vest in equal quarterly increments over the following three years, subject in each case to the reporting person's continued service with the issuer and certain acceleration provisions in the event of a change in control. The Options expire on the tenth anniversary of the date of grant, or earlier in the event of a separation from service with the issuer. F1 · derivative.expiration_date: Non-qualified stock options (the "Options") granted pursuant to the OppFi Inc. 2021 Equity Incentive Plan, of which 25% will vest upon the one year anniversary of the date of grant and the remainder will vest in equal quarterly increments over the following three years, subject in each case to the reporting person's continued service with the issuer and certain acceleration provisions in the event of a change in control. The Options expire on the tenth anniversary of the date of grant, or earlier in the event of a separation from service with the issuer. Read SEC document |
| July 21, 2021 Filed Jul 23, 2021 23:44 UTC | OppFi Inc. OPFI · Entity 1051 | GrantNon-Qualified Stock Option · Derivative | 1,000,000 | $0.00 Strike: $10.45 | $0.00 |
DisclosureSEC source: 0000899243-21-029791 · doc4.xml · derivative · entry 1 Kaplan Jared · CIK 0001874040 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Class A Common Stock · 1,000,000 shares Expires not disclosed F1 · derivative.exercise_date: Non-qualified stock options (the "Options") granted pursuant to the OppFi Inc. 2021 Equity Incentive Plan, of which 25% will vest upon the one year anniversary of the date of grant and the remainder will vest in equal quarterly increments over the following three years, subject in each case to the reporting person's continued service with the issuer and certain acceleration provisions in the event of a change in control. The Options expire on the tenth anniversary of the date of grant, or earlier in the event of a separation from service with the issuer. F1 · derivative.expiration_date: Non-qualified stock options (the "Options") granted pursuant to the OppFi Inc. 2021 Equity Incentive Plan, of which 25% will vest upon the one year anniversary of the date of grant and the remainder will vest in equal quarterly increments over the following three years, subject in each case to the reporting person's continued service with the issuer and certain acceleration provisions in the event of a change in control. The Options expire on the tenth anniversary of the date of grant, or earlier in the event of a separation from service with the issuer. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.