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Filing Details

Accession Number:: 0001502328-18-000005
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-12-10 16:36:09
Reporting Period:: 2018-12-06

Accepted Time:: 2018-12-10 16:36:09
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
1502328	Marc Diouane	C/O Zuora, Inc. 3050 South Delaware Street, Suite 301 San Mateo CA 94403	President	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2018-12-06	130,500	$0.00	130,500	No	4	C	Direct
Class A Common Stock	Disposition	2018-12-06	130,500	$18.03	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class B Common Stock	Stock Option (Right to buy Class B Common Stock)	Disposition	2018-12-06	80,384	$0.00	80,384	$3.04
Class B Common Stock	Stock Option (Right to buy Class B Common Stock)	Disposition	2018-12-06	50,116	$0.00	50,116	$3.28
Class A Common Stock	Class B Common Stock	Acquisiton	2018-12-06	130,500	$0.00	130,500	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2018-12-06	130,500	$0.00	130,500	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
10,416	2024-11-18	No	4	M	Direct
199,883	2027-02-04	No	4	M	Direct
608,399		No	4	M	Direct
477,899		No	4	C	Direct

Footnotes

Represents the weighted average sale price. The lowest price at which shares were sold was $17.68 and the highest price at which shares were sold was $18.27. The Reporting Person undertakes to provide upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth in this footnote.
The option vests as to 1/12 of the shares monthly following the January 1, 2018 vesting commencement date, with 100% of the total shares vested on January 1, 2019, subject to the Reporting Person's provision of service to the Issuer on each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the Issuer's right of repurchase.
The option vests as to 1/48th of the shares monthly following the February 1, 2017 vesting commencement date, with 100% of the total shares vested on February 1, 2021, subject to the reporting person's provision of service to the issuer on each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the issuer's right of repurchase.
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, 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. The shares of Class A and Class B Common Stock have no expiration date.