Filing Details
- Accession Number:
- 0001735441-20-000006
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-02 17:24:55
- Reporting Period:
- 2020-06-30
- Accepted Time:
- 2020-07-02 17:24:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1735441 | Jr. R. Brent Cromley | C/O Zuora, Inc. 101 Redwood Shores Parkway Redwood City CA 94065 | Svp, Technology | 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 | 2020-06-30 | 1,250 | $0.00 | 9,744 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2020-06-30 | 5,000 | $0.00 | 14,744 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-07-01 | 2,289 | $12.07 | 12,455 | 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 | 2020-06-30 | 1,250 | $0.00 | 1,250 | $0.00 |
| Class A Common Stock | Restricted Stock Units (RSU)(Class A) | Disposition | 2020-06-30 | 5,000 | $0.00 | 5,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,750 | No | 4 | M | Direct | ||
| 75,000 | No | 4 | M | Direct |
Footnotes
- Includes 1,785 shares of Class A Common Stock acquired on June 12, 2020, pursuant to the Issuer's employee stock purchase plan.
- 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 and two of Table I.
- Represents the weighted average sale price. The lowest price at which shares were sold was $12.0500 and the highest price at which shares were sold was $12.5715. 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 range set forth in this footnote.
- Each 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 1/16 of the shares underlying the initial grant vesting on June 30, 2019 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.
- 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.
Billionaire Hedge Funds
