SEC Form 4 · accession 0000899243-18-010214

ZUORA INC · ZUO

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

Reporting owner

Officer — See Remarks · Director · 10% Owner

Period of report

Apr 16, 2018

Accepted (ET)

Apr 16, 2018 · 5:13 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001423774

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F1,F3	—	Apr 16, 2018	C	1,574,074	A	—	—	Class A Common Stock	1,574,074	7,727,351	I
Series A Preferred Stock^F3,F2,F1	—	Apr 16, 2018	C	1,531,977	D	—	—	Class B Common Stock	1,531,997	0	I
Series B Preferred Stock^F3,F2,F1	—	Apr 16, 2018	C	42,097	D	—	—	Class B Common Stock	42,097	0	I

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.
F2Each share of the issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted 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.
F3The reporting person is the trustee of the 70 Thirty Trust.

Chairman of the Board of Directors and Chief Executive Officer