13D Filing: True Wind Capital, L.p. and Zix Corp (NASDAQ:ZIXI)

Names of
Reporting Persons.

True Wind Capital GP, LLC

Check the Appropriate Box if a Member
of a Group (See Instructions)

(a)  ☐        (b)  ☐

SEC Use Only

Source of Funds (See Instructions)

OO

Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)

☐

Citizenship or Place of
Organization

Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with:

Sole Voting Power

0

Shared Voting Power

10,782,865 (1)

Sole Dispositive Power

0

Shared Dispositive Power

10,782,865 (1)

Aggregate Amount Beneficially Owned by Each Reporting Person

10,782,865 (1)

Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)

☐

Percent of Class Represented by Amount
in Row (11)

19.9% (1)

Type of Reporting Person (See
Instructions)

OO

Represents 64,914 shares of Series A Preferred Stock of the Issuer convertible into shares of Common Stock,
based on the current accreted value of such shares, subject to a share issuance limitation preventing the Issuer from issuing shares totaling more than 19.9% of the Issuers outstanding shares of Common Stock as of January 14, 2019 (10,783,050
shares), subject to approval of the Issuers stockholders permitting issuances in excess of such limitation. See Item 5.