Filing Details
- Accession Number:
- 0000899243-18-023903
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-06 13:45:23
- Reporting Period:
- 2018-09-04
- Accepted Time:
- 2018-09-06 13:45:23
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1423774 | Zuora Inc | ZUO | Services-Prepackaged Software (7372) | 205530976 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1626464 | Michelangelo Volpi | C/O Zuora, Inc. 3050 South Delaware Street, Suite 301 San Mateo CA 94403 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2018-09-04 | 1,053,868 | $0.00 | 1,053,868 | No | 4 | C | Indirect | See Footnotes |
| Class A Common Stock | Disposition | 2018-09-05 | 1,042,337 | $0.00 | 11,531 | No | 4 | J | Indirect | See Footnotes |
| Class A Common Stock | Disposition | 2018-09-05 | 1,202 | $26.79 | 10,329 | No | 4 | S | Indirect | See Footnotes |
| Class A Common Stock | Disposition | 2018-09-05 | 10,329 | $26.24 | 0 | No | 4 | S | Indirect | See Footnotes |
| Class A Common Stock | Acquisiton | 2018-09-04 | 3,860 | $0.00 | 3,860 | No | 4 | C | Indirect | See Footnotes |
| Class A Common Stock | Disposition | 2018-09-05 | 402 | $26.79 | 3,458 | No | 4 | S | Indirect | See Footnotes |
| Class A Common Stock | Disposition | 2018-09-05 | 3,458 | $26.24 | 0 | No | 4 | S | Indirect | See Footnotes |
| Class A Common Stock | Acquisiton | 2018-09-04 | 13,389 | $0.00 | 13,389 | No | 4 | C | Indirect | See Footnotes |
| Class A Common Stock | Disposition | 2018-09-05 | 1,396 | $26.79 | 11,993 | No | 4 | S | Indirect | See Footnotes |
| Class A Common Stock | Disposition | 2018-09-05 | 11,993 | $26.24 | 0 | No | 4 | S | Indirect | See Footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | C | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | C | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2018-09-04 | 1,053,868 | $0.00 | 1,053,868 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-09-04 | 3,860 | $0.00 | 3,860 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-09-04 | 13,389 | $0.00 | 13,389 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,161,606 | No | 4 | C | Indirect | ||
| 11,582 | No | 4 | C | Indirect | ||
| 40,167 | No | 4 | C | Indirect |
Footnotes
- At the request of the holder, on September 4, 2018, each such share of the issuer's Class B Common Stock converted into one (1) share of the issuer's Class A Common Stock.
- The securities are held by Index Ventures Growth II (Jersey), L.P. ("IVG II"). Index Venture Growth Associates II Limited ("Associates") is the general partner of IVG II.
- On September 5, 2018, IVG II distributed, for no consideration, 1,042,337 shares of Class A Common Stock of the issuer to its limited partners, representing each such partner's pro rata interest in the shares held by IVG II. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.705 - $27.05, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.70 - $26.68, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The securities are held directly by Index Ventures Growth II Parallel Entrepreneur Fund (Jersey), L.P. ("Parallel"). Associates is the general partner of Parallel.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.705 - $27.05, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.70 - $26.68, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The securities are held directly by Yucca (Jersey) SLP ("Yucca"). The general partner of Yucca is Yucca Associates Limited ("YAL").
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.705 - $27.05, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.70 - $26.68, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The Reporting Person is a partner within the Index Ventures group. Advisors within the Index Ventures group provide advice to IVG II, Parallel and Yucca (collectively, the "Index Funds"). The Reporting Person is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. The Reporting Person disclaims Section 16 beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
Billionaire Hedge Funds
