Filing Details
- Accession Number:
- 0001423774-21-000111
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-04 17:21:48
- Reporting Period:
- 2021-09-30
- Accepted Time:
- 2021-10-04 17:21:48
- 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 | 2021-09-30 | 6,250 | $0.00 | 24,883 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2021-09-30 | 6,250 | $0.00 | 31,133 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2021-09-30 | 18,750 | $0.00 | 49,883 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2021-10-01 | 15,693 | $16.81 | 34,190 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | 2021-09-30 | 6,250 | $0.00 | 6,250 | $0.00 |
| Class A Common Stock | Restricted Stock Units (RSU)(Class A) | Disposition | 2021-09-30 | 6,250 | $0.00 | 6,250 | $0.00 |
| Class A Common Stock | Restricted Stock Units (RSU)(Class A) | Disposition | 2021-09-30 | 18,750 | $0.00 | 18,750 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 50,000 | No | 4 | M | Direct | ||
| 62,500 | No | 4 | M | Direct | ||
| 262,500 | No | 4 | M | Direct |
Footnotes
- Shares sold to satisfy the Reporting Person's tax liability in connection with the issuance of Class A Common Stock resulting from the vesting of restricted stock units ("RSUs") as reported in rows one, two and three of Table I.
- Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon vesting for no consideration.
- The RSUs vest over four years, with 1/4 of the shares underlying the initial award vesting on September 30, 2020 and the remaining shares vesting as to 1/16 of the shares underlying the initial award quarterly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date.
- RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.
- The RSUs vest over four years, with 1/16 of the shares underlying the initial award vesting on June 30, 2020 and the remaining shares vesting as to 1/16 of the shares underlying the initial award quarterly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date.
- The RSUs vest over four years, with 1/16 of the shares underlying the initial award vesting on June 30, 2021 and the remaining shares vesting as to 1/16 of the shares underlying the initial award quarterly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date.
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