Filing Details
- Accession Number:
- 0001791403-20-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-02 19:37:36
- Reporting Period:
- 2020-09-30
- Accepted Time:
- 2020-10-02 19:37:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1791403 | J. Robert Traube | C/O Zuora, Inc. 101 Redwood Shores Parkway Redwood City CA 94065 | Chief Revenue Officer | No | Yes | 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 | 2020-09-30 | 25,000 | $0.00 | 35,130 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2020-09-30 | 6,250 | $0.00 | 41,380 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-10-01 | 10,969 | $10.31 | 30,411 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Restricted Stock Units (RSU)(Class A) | Disposition | 2020-09-30 | 25,000 | $0.00 | 25,000 | $0.00 |
| Class A Common Stock | Restricted Stock Units (RSU)(Class A) | Disposition | 2020-09-30 | 6,250 | $0.00 | 6,250 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 75,000 | No | 4 | M | Direct | ||
| 87,500 | No | 4 | M | Direct |
Footnotes
- Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement for no consideration.
- The RSU vests over four years, with 1/4 of the shares underlying the initial grant vesting on September 30, 2020 and the remaining shares vesting as to 1/16 of the award quarterly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date. This award was originally included in Table I on the Form 4 filed by the Reporting Person on November 1, 2019.
- RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.
- The RSU vests over four years, with 1/16 of the shares underlying the initial grant vesting on June 30, 2020 and the remaining shares vesting as to 1/16 of the award quarterly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date.
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