Zuora, Inc Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 58 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-12-08: Reporting owner Tzuo Tien; Form 4; Security Class B Common Stock; Transaction Holding.
- 2021-12-08: Reporting owner Tzuo Tien; Form 4; Security Class B Common Stock; Transaction Holding.
- 2021-12-08: Reporting owner Pileggi Jennifer; Form 4; Security Class B Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-12-08: Reporting owner Pileggi Jennifer; 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 |
|---|---|---|---|---|---|---|---|---|
| 2021-12-08 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By The Next Left Trust | Holding | 640,542 owned after | no price filed | 2021-12-08 | |
| 2021-12-08 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By 70 Thirty Trust | Holding | 7,006,809 owned after | no price filed | 2021-12-08 | |
| 2021-12-08 | 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 | +1,823 1,823 owned after | $0.00 | 2021-12-08 | |
| 2021-12-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −1,823 0 owned after | $0.00 | 2021-12-08 | |
| 2021-12-07 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 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 | $3.04 exercise price | 2021-12-08 | |
| 2021-12-07 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,000 0 owned after | $0.00 | 2021-12-08 | |
| 2021-12-06 | 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 | +3,646 3,646 owned after | $0.00 | 2021-12-08 | |
| 2021-12-06 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −3,646 0 owned after | $0.00 | 2021-12-08 | |
| 2021-10-19 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By 70 Thirty Trust | Holding | 7,006,809 owned after | no price filed | 2021-10-19 | |
| 2021-10-18 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By The Next Left Trust | C Conversion of derivative security | −39,900 640,542 owned after | $0.00 | 2021-10-19 | |
| 2021-10-15 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By The Next Left Trust | C Conversion of derivative security | −100 680,442 owned after | $0.00 | 2021-10-19 | |
| 2021-10-04 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By The Next Left Trust | Holding | 680,542 owned after | no price filed | 2021-10-04 | |
| 2021-10-04 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By 70 Thirty Trust | Holding | 7,006,809 owned after | no price filed | 2021-10-04 | |
| 2021-10-01 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 5,000 owned after | $3.04 exercise price | 2021-10-04 | |
| 2021-10-01 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $0.00 | 2021-10-04 | |
| 2021-09-15 | 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 | +38,264 38,264 owned after | $0.00 | 2021-09-17 | |
| 2021-09-15 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −38,264 0 owned after | $0.00 | 2021-09-17 | |
| 2021-09-15 | 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 | +20,900 20,900 owned after | $0.00 | 2021-09-17 | |
| 2021-09-15 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −20,900 0 owned after | $0.00 | 2021-09-17 | |
| 2021-09-15 | 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 | +1,823 1,823 owned after | $0.00 | 2021-09-17 | |
| 2021-09-15 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −1,823 0 owned after | $0.00 | 2021-09-17 | |
| 2021-09-01 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By The Next Left Trust | Holding | 680,542 owned after | no price filed | 2021-09-01 | |
| 2021-09-01 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By 70 Thirty Trust | Holding | 7,006,809 owned after | no price filed | 2021-09-01 | |
| 2021-08-30 | 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 | +12,432 12,432 owned after | $0.00 | 2021-09-01 | |
| 2021-08-30 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −12,432 0 owned after | $0.00 | 2021-09-01 | |
| 2021-08-30 | 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 | +62,146 62,146 owned after | $0.00 | 2021-09-01 | |
| 2021-08-30 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −62,146 0 owned after | $0.00 | 2021-09-01 | |
| 2021-08-30 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 5,000 owned after | $3.04 exercise price | 2021-09-01 | |
| 2021-08-30 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $0.00 | 2021-09-01 | |
| 2021-07-09 | YESIL MAGDALENA Director | 5 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −101,561 0 owned after | $0.00 | 2022-03-28 | |
| 2021-07-09 | YESIL MAGDALENA Director | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +101,561 101,561 owned after | $5.16 exercise price | 2021-07-13 | |
| 2021-06-23 | 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 | 2021-06-24 | |
| 2021-06-23 | 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 | 2021-06-24 | |
| 2021-06-14 | 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 | +16,735 16,735 owned after | $0.00 | 2021-06-16 | |
| 2021-06-14 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −16,735 0 owned after | $0.00 | 2021-06-16 | |
| 2021-06-03 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By The Next Left Trust | Holding | 680,542 owned after | no price filed | 2021-06-03 | |
| 2021-06-03 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By 70 Thirty Trust | Holding | 7,006,809 owned after | no price filed | 2021-06-03 | |
| 2021-06-01 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 15,000 owned after | $3.04 exercise price | 2021-06-03 | |
| 2021-06-01 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −15,000 0 owned after | $0.00 | 2021-06-03 | |
| 2021-05-28 | HALEY TIMOTHY M Director | 4 | Class B Common Stock Derivative · Indirect · By Redpoint Omega, L.P. | C Conversion of derivative security | −1,452,156 0 owned after | $0.00 | 2021-06-02 | |
| 2021-05-28 | HALEY TIMOTHY M Director | 4 | Class B Common Stock Derivative · Indirect · By Redpoint Omega Associates, LLC | C Conversion of derivative security | −41,064 0 owned after | $0.00 | 2021-06-02 | |
| 2021-04-15 holding as of filing | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By 70 Thirty Trust | Holding | 7,006,809 owned after | no price filed | 2021-04-15 | |
| 2021-04-14 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · By The Next Left Trust | C Conversion of derivative security | −20,000 680,542 owned after | $0.00 | 2021-04-15 | |
| 2021-04-13 | 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 | 2021-04-14 | |
| 2021-04-13 | 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 | 2021-04-14 | |
| 2021-04-08 | 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 | 2021-04-09 | |
| 2021-04-08 | 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 | 2021-04-09 | |
| 2021-04-01 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 5,000 owned after | $3.04 exercise price | 2021-04-05 | |
| 2021-04-01 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $0.00 | 2021-04-05 | |
| 2021-03-16 | 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 | +16,668 16,668 owned after | $0.00 | 2021-03-18 | |
| 2021-03-16 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −16,668 0 owned after | $0.00 | 2021-03-18 | |
| 2021-03-16 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 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 | $3.04 exercise price | 2021-03-18 | |
| 2021-03-16 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,000 0 owned after | $0.00 | 2021-03-18 | |
| 2021-01-22 | 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 | 2021-01-26 | |
| 2021-01-22 | 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 | 2021-01-26 | |
| 2021-01-22 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,000 25,000 owned after | $3.04 exercise price | 2021-01-26 | |
| 2021-01-22 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct · (m) | C Conversion of derivative security | −25,000 0 owned after | $0.00 | 2021-01-26 | |
| 2021-01-22 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | −20,000 708,804 owned after | $0.00 | 2021-01-26 |