SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
UBA HAJIME

(Last) (First) (Middle)
C/O KURA SUSHI USA, INC.
17932 SKY PARK CIRCLE, SUITE H

(Street)
IRVINE CA 92614

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/31/2019
3. Issuer Name and Ticker or Trading Symbol
KURA SUSHI USA, INC. [ KRUS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Purchase Class A Common Stock (1) 06/16/2028 Class A Common Stock 77,571 4.26 D
Explanation of Responses:
1. The Option will vest in equal quarterly installments on the last day of each calendar quarter over approximately forty-five (45) months after June 16, 2018, generally subject to the Reporiting Person's continuous service relationship with Kura Sushi USA, Inc. through each applicable vesting date.
Remarks:
President, Chief Executive Officer and Chairman of the Board of Directors
/s/ Hajime Uba 07/31/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.


                                POWER OF ATTORNEY

      Know all by these presents that the undersigned hereby authorizes and
designates Koji Shinohara as the undersigned's agent and attorney-in-fact, with
full power of substitution to:

      (1) prepare and sign on behalf of the undersigned any Form 3, Form 4 or
Form 5 under Section l6 of the Securities Exchange Act of 1934, as amended, with
respect to the securities of Kura Sushi USA, Inc. (the "Corporation"), and file
the same with the Securities and Exchange Commission;

      (2) prepare and sign on behalf of the undersigned any Form 144 Notice
under the Securities Act of 1933, as amended, and file the same with the
Securities and Exchange Commission; and

      (3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of
the undersigned pursuant to this Power of Attorney shall be in such form and
shall contain such terms and conditions as such attorney-in-fact may approve in
such attorney-in-fact's discretion.

      The undersigned hereby grants to each such attorney-in-fact full power and
 authority to do and perform any and every act and thing whatsoever requisite,
 necessary or proper to be done in the exercise of any of the rights and powers
 herein granted, as fully to all intents and purposes as the undersigned might
 or could do if personally present, with full power of substitution or
 revocation, hereby ratifying and confirming all that such attorney-in-fact, or
 such attorney-in-fact's substitute or substitutes, shall lawfully do or cause
 to be done by virtue of this power of attorney and the rights and powers herein
 granted.

      The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Corporation assuming, any of the undersigned's responsibilities to
comply with Section 16 of the Securities Exchange Act of 1934, as amended, or
Section 5 of the Securities Act of 1933, as amended, or Rule 144 promulgated
under such Act.  This Power of Attorney shall remain in effect until the
undersigned is no longer required to file Forms 3, 4, 5 and 144 with respect to
the undersigned's holdings of and transactions in securities issued by the
Corporation, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.

Dated:  July 31, 2019


                        Signature:/s/ Hajime Uba
                                  ------------------------
                        Printed Name: Hajime Uba
                                      --------------------