SEC Form 3 · accession 0000899243-18-009974

ZUORA INC · ZUO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Apr 11, 2018

Accepted (ET)

Apr 11, 2018 · 5:10 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001423774

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
No securities beneficially held	holding	—	—		—	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock(1)^F2,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	5,416,225	—	D
Series A Preferred Stock^F2,F3	$0.00	holding	—	—	—	—	—	Class B Common Stock(1)	1,531,977	—	D
Class B Preferred Stock^F2,F3	$0.00	holding	—	—	—	—	—	Class B Common Stock(1)	42,097	—	D

F1Each share of the issuer's Class B Common Stock will convert into 1 share of the issuer's Class A Common Stock (a) at the option of the holder and (b) automatically upon (i) any transfer which occurs after the closing of the issuer's initial public offering ("IPO"), except for certain permitted transfers, and (ii) the date that is the earliest of (x) the date specified by a vote of the holders of not less than 66 2/3% of the outstanding shares of Class B Common Stock, (y) ten years from the effective date of the IPO and (z) the date that the total number of shares of outstanding Class B Common Stock ceases to represent at least 5% of all outstanding shares of the issuer's common stock, and has no expiration date.
F2Tien Tzuo, an executive officer of the issuer and a member of the issuer's Board of Directors, is the trustee of the 70 Thirty Trust.
F3Each share of the issuer's Series A Preferred Stock and Series B Preferred Stock will automatically convert into 1 share of the issuer's Class B Common Stock immediately upon the closing of the issuer's IPO and has no expiration date

Exhibit List - Exhibit 24 - Power of Attorney