Annual Statement of Changes in Beneficial Ownership (5)

Date : 02/11/2020 @ 9:44PM
Source : Edgar (US Regulatory)
Stock : Zuora Inc (ZUO)
Quote : 8.54  0.09 (1.07%) @ 4:16PM

Annual Statement of Changes in Beneficial Ownership (5)

FORM 5 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

                                                                                  
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Tzuo Tien
2. Issuer Name and Ticker or Trading Symbol

ZUORA INC [ZUO]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman and CEO
(Last)          (First)          (Middle)

C/O ZUORA, INC.,  101 REDWOOD SHORES PARKWAY
3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
1/31/2020 
(Street)

REDWOOD CITY, CA 94065
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed(MM/DD/YYYY)
 
6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date2A. Deemed Execution Date, if any3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Amount(A) or (D)Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Class B Common Stock $0.0 (1)8/6/2019  G   2731   (1) (1)Class A Common Stock 2731.0 $0 364402 I By Tien Tzuo 2010 Annuity Trust (2)
Class B Common Stock $0.0 (1)8/6/2019  G   2731   (1) (1)Class A Common Stock 2731.0 $0 364402 I By Renyan Tzuo 2010 Annuity Trust (3)
Class B Common Stock  8/6/2019  G 5462     (1) (1)Class A Common Stock 5462.0 $0 6998547 I By 70 Thirty Trust (4)

Explanation of Responses:
(1) Each share of the Issuer's Class B Common Stock will convert into one share of the Issuer's Class A Common Stock (a) at the option of the holder and (b) automatically upon (i) any transfer, 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 Issuer's initial public offering 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.
(2) The Reporting Person is the trustee of the Tien Tzuo 2010 Annuity Trust.
(3) The Reporting Person's spouse is the trustee of the Renyan Tzuo 2010 Annuity Trust.
(4) The Reporting Person is the trustee of the 70 Thirty Trust.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Tzuo Tien
C/O ZUORA, INC.
101 REDWOOD SHORES PARKWAY
REDWOOD CITY, CA 94065
X
Chairman and CEO

Signatures
/s/ Jennifer Pileggi as attorney-in-fact for Tien Tzuo2/11/2020
**Signature of Reporting PersonDate

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