SEC Form 4 · accession 0000899243-18-010237

ZUORA INC · ZUO

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

Reporting owner

10% Owner

Period of report

Apr 16, 2018

Accepted (ET)

Apr 16, 2018 · 7:20 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
Series E Preferred Stock^F1,F2	—	Apr 16, 2018	C	1,978,109	D	—	—	Class B Common Stock	1,978,109	0	D
Series F Preferred Stock^F1,F2	—	Apr 16, 2018	C	315,847	D	—	—	Class B Common Stock	315,847	0	D
Class B Common Stock^F2,F1	—	Apr 16, 2018	C	2,293,956	A	—	—	Class A Common Stock	2,293,956	2,293,956	D

F1In connection with the consummation of the Issuer's initial public offering on April 16, 2018, each share of Series E Preferred Stock and Series F Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
F2Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and will automatically convert into one share of Class A Common Stock upon the date that is the earlier of (i) the date specified by a vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, (ii) ten years from the closing of the Issuer's initial public offering, and (iii) the date that the total number of shares of the Issuer's Class B Common Stock outstanding ceases to represent at least 5% of all outstanding shares of the Issuer's Common Stock. In addition, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, which occurs after the closing of the Issuer's initial public offering, subject to certain exceptions.