Zuora, Inc Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-09: Reporting owner HALEY TIMOTHY M; Form 4; Security Class B Common Stock; Transaction C Conversion of derivative security.
- 2019-12-09: Reporting owner HALEY TIMOTHY M; Form 4; Security Class B Common Stock; Transaction C Conversion of derivative security.
- 2019-10-07: Reporting owner GOLDMAN KENNETH A; Form 5; Security Class B Common Stock; Transaction C Conversion of derivative security.
- 2019-09-15: Reporting owner FENTON PETER H; Form 4; Security Class B Common Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-12-09 | HALEY TIMOTHY M Director | 4 | Class B Common Stock Derivative · Indirect · By Redpoint Omega, L.P. | C Conversion of derivative security | −1,452,156 1,452,156 owned after | $0.00 | 2019-12-11 | |
| 2019-12-09 | HALEY TIMOTHY M Director | 4 | Class B Common Stock Derivative · Indirect · By Redpoint Omega Associates, LLC | C Conversion of derivative security | −41,064 41,064 owned after | $0.00 | 2019-12-11 | |
| 2019-10-07 | GOLDMAN KENNETH A Director | 5 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −3,000 52,000 owned after | $0.00 | 2020-02-12 | |
| 2019-09-15 | FENTON PETER H Director | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,051,545 3,077,317 owned after | $0.00 | 2019-09-17 | |
| 2019-09-10 | Volpi Michelangelo Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,405,157 0 owned after | $0.00 | 2019-09-12 | |
| 2019-09-10 | Volpi Michelangelo Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −5,148 0 owned after | $0.00 | 2019-09-12 | |
| 2019-09-10 | Volpi Michelangelo Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −17,852 0 owned after | $0.00 | 2019-09-12 | |
| 2019-08-06 | Tzuo Tien Director, Officer (Chairman and CEO) | 5 | Class B Common Stock Derivative · Indirect · By Tien Tzuo 2010 Annuity Trust | G Bona fide gift | −2,731 364,402 owned after | $0.00 | 2020-02-11 | |
| 2019-08-06 | Tzuo Tien Director, Officer (Chairman and CEO) | 5 | Class B Common Stock Derivative · Indirect · By Renyan Tzuo 2010 Annuity Trust | G Bona fide gift | −2,731 364,402 owned after | $0.00 | 2020-02-11 | |
| 2019-08-06 | Tzuo Tien Director, Officer (Chairman and CEO) | 5 | Class B Common Stock Derivative · Indirect · By 70 Thirty Trust | G Bona fide gift | +5,462 6,998,547 owned after | $0.00 | 2020-02-11 | |
| 2019-07-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +10,000 10,000 owned after | $0.00 | 2019-07-09 | |
| 2019-07-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,000 0 owned after | $0.00 | 2019-07-09 | |
| 2019-06-19 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +10,000 10,000 owned after | $0.00 | 2019-06-20 | |
| 2019-06-19 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,000 0 owned after | $0.00 | 2019-06-20 | |
| 2019-06-05 | YESIL MAGDALENA Director | 5 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −55,643 0 owned after | $0.00 | 2020-02-11 | |
| 2019-04-29 | Diouane Marc Officer (President) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +240,000 717,899 owned after | $0.00 | 2019-04-30 | |
| 2019-04-29 | Diouane Marc Officer (President) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −240,000 477,899 owned after | $0.00 | 2019-04-30 | |
| 2019-04-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +10,000 10,000 owned after | $0.00 | 2019-04-09 | |
| 2019-04-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,000 10,000 owned after | $0.00 | 2019-04-09 | |
| 2019-04-01 | SPURLOCK STEVEN M | HARVEY KEVIN | KAGLE ROBERT | GURLEY J WILLIAM | BALKANSKI ALEXANDRE | LASKY MITCHELL | DUNLEVIE BRUCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,564,431 5,128,862 owned after | $0.00 | 2019-04-03 | |
| 2019-04-01 | Benchmark Capital Management Co. V, L.L.C. | BENCHMARK FOUNDERS FUND V LP | Benchmark Capital Partners V L P | Benchmark Founders Fund V-B LP | Benchmark Founders Fund V-A LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,564,431 5,128,862 owned after | $0.00 | 2019-04-03 | |
| 2019-04-01 | FENTON PETER H Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,564,431 5,128,862 owned after | $0.00 | 2019-04-03 | |
| 2019-03-28 | Sloat Tyler Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +35,472 35,472 owned after | $0.00 | 2019-04-01 | |
| 2019-03-28 | Sloat Tyler Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −35,472 0 owned after | $0.00 | 2019-04-01 | |
| 2019-03-26 | Sloat Tyler Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +117,105 117,105 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | Sloat Tyler Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −117,105 0 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | Sloat Tyler Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +17,924 17,924 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | Sloat Tyler Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −17,924 0 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | Diouane Marc Officer (President) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +130,000 607,899 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | Diouane Marc Officer (President) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −130,000 477,899 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | GOLDMAN KENNETH A Director | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −24,000 55,000 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +10,000 10,000 owned after | $0.00 | 2019-03-28 | |
| 2019-03-26 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,000 10,000 owned after | $0.00 | 2019-03-28 | |
| 2019-03-25 | Pressman Jason Director | 4 | Class B Common Stock Derivative · Indirect · By Shasta Ventures II, L.P. | C Conversion of derivative security | −3,000,000 2,763,122 owned after | $0.00 | 2019-03-27 | |
| 2019-03-25 | Volpi Michelangelo Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −702,581 1,405,157 owned after | $0.00 | 2019-03-27 | |
| 2019-03-25 | Volpi Michelangelo Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,574 5,148 owned after | $0.00 | 2019-03-27 | |
| 2019-03-25 | Volpi Michelangelo Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −8,926 17,852 owned after | $0.00 | 2019-03-27 | |
| 2019-01-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +10,000 10,000 owned after | $0.00 | 2019-01-10 | |
| 2019-01-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,000 0 owned after | $0.00 | 2019-01-10 |