0000899243-18-019883.txt : 20180717
0000899243-18-019883.hdr.sgml : 20180717
20180717061144
ACCESSION NUMBER: 0000899243-18-019883
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180416
FILED AS OF DATE: 20180717
DATE AS OF CHANGE: 20180717
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vulcan Capital Growth Equity LLC
CENTRAL INDEX KEY: 0001608244
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38451
FILM NUMBER: 18955453
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, SUITE 900
CITY: SEATTLE
STATE: WA
ZIP: 98104
BUSINESS PHONE: 206-342-2000
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, SUITE 900
CITY: SEATTLE
STATE: WA
ZIP: 98104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vulcan Capital Growth Equity Management LLC
CENTRAL INDEX KEY: 0001608245
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38451
FILM NUMBER: 18955454
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, SUITE 900
CITY: SEATTLE
STATE: WA
ZIP: 98104
BUSINESS PHONE: 206-342-2000
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, SUITE 900
CITY: SEATTLE
STATE: WA
ZIP: 98104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALLEN PAUL G
CENTRAL INDEX KEY: 0000904057
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38451
FILM NUMBER: 18955455
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE SOUTH
STREET 2: SUITE 900
CITY: SEATTLE
STATE: WA
ZIP: 98104-3891
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cougar Investment Holdings LLC
CENTRAL INDEX KEY: 0001579540
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38451
FILM NUMBER: 18955456
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE SOUTH, SUITE 900
CITY: SEATTLE
STATE: WA
ZIP: 98104
BUSINESS PHONE: (206) 342-2000
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE SOUTH, SUITE 900
CITY: SEATTLE
STATE: WA
ZIP: 98104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ZUORA INC
CENTRAL INDEX KEY: 0001423774
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 205530976
FISCAL YEAR END: 0131
BUSINESS ADDRESS:
STREET 1: 3050 SOUTH DELAWARE STREET
STREET 2: SUITE 301
CITY: SAN MATEO
STATE: CA
ZIP: 94403
BUSINESS PHONE: 800-425-1281
MAIL ADDRESS:
STREET 1: 3050 SOUTH DELAWARE STREET
STREET 2: SUITE 301
CITY: SAN MATEO
STATE: CA
ZIP: 94403
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-04-16
0
0001423774
ZUORA INC
ZUO
0001579540
Cougar Investment Holdings LLC
C/O VULCAN VENTURES
505 FIFTH AVE. S, SUITE 900
SEATTLE
WA
98104
0
0
1
0
0000904057
ALLEN PAUL G
C/O VULCAN VENTURES
505 FIFTH AVENUE SOUTH, SUITE 900
SEATTLE
WA
98104
0
0
1
0
0001608245
Vulcan Capital Growth Equity Management LLC
C/O VULCAN VENTURES
505 FIFTH AVE. S, SUITE 900
SEATTLE
WA
98104
0
0
1
0
0001608244
Vulcan Capital Growth Equity LLC
C/O VULCAN VENTURES
505 FIFTH AVE. S, SUITE 900
SEATTLE
WA
98104
0
0
1
0
Series E Preferred Stock
2018-04-16
4
C
0
2472636
0.00
D
Class B Common Stock
2472636
0
I
By Vulcan Capital Growth Equity LLC
Class B Common Stock
2018-04-16
4
C
0
2472636
0.00
A
Class A Common Stock
2472636
2472636
I
By Vulcan Capital Growth Equity LLC
Series F Preferred Stock
2018-04-16
4
C
0
394809
0.00
D
Class B Common Stock
394809
0
I
By Vulcan Capital Growth Equity LLC
Class B Common Stock
2018-04-16
4
C
0
394809
0.00
A
Class A Common Stock
394809
2867445
I
By Vulcan Capital Growth Equity LLC
Each share of the issuer's Series E Preferred Stock and Series F Preferred Stock automatically converted into 1 share of the issuer's Class B Common Stock immediately upon the closing of the issuer's initial public offering ("IPO") and has no expiration date.
Each 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 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.
These securities are held of record by Vulcan Capital Growth Equity LLC ("VCGE"). Vulcan Capital Growth Equity Management LLC ("VCGE Management") manages VCGE. VCGE Management is managed by Cougar Investment Holdings LLC, which is wholly owned by Paul G. Allen, who has sole voting and investment power over the shares held by VCGE. Mr. Allen disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
/s/ David R. Stewart, as attorney-in-fact for Paul G. Allen
2018-07-15
/s/ David R. Stewart, Vice President for Cougar Investment Holdings LLC
2018-07-15
/s/ David R. Stewart, for Vulcan Capital Growth Equity Management LLC, as Vice President of Cougar Investment Holdings LLC, its Managing Member
2018-07-15
/s/ David R. Stewart, Vice President of Cougar Investment Holdings LLC, the Managing Member of Vulcan Capital Growth Equity Management LLC, the Manager of Vulcan Capital Growth Equity LLC
2018-07-15