Zuora, Inc Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-10-04: Reporting owner Tzuo Tien; Form 4; Security Class B Common Stock; Transaction Holding.
- 2022-10-04: Reporting owner Tzuo Tien; Form 4; Security Class B Common Stock; Transaction Holding.
- 2022-07-05: Reporting owner Tzuo Tien; Form 4; Security Class B Common Stock; Transaction Holding.
- 2022-07-05: Reporting owner Tzuo Tien; Form 4; Security Class B Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-10-04 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 | 7,106,809 owned after | no price filed | 2022-10-04 | |
| 2022-10-04 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 | 640,542 owned after | no price filed | 2022-10-04 | |
| 2022-07-05 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 | 7,106,809 owned after | no price filed | 2022-07-05 | |
| 2022-07-05 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 | 2022-07-05 | |
| 2022-06-28 | 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 | +12,594 12,594 owned after | $7.94 exercise price | 2023-01-04 | |
| 2022-06-28 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct · (m) | G Bona fide gift | −12,594 0 owned after | $0.00 | 2023-01-04 | |
| 2022-06-28 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · (m) | G Bona fide gift | +12,594 7,119,403 owned after | $0.00 | 2023-01-04 | |
| 2022-06-09 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 | 2022-06-09 | |
| 2022-06-07 | 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 | +100,000 100,000 owned after | $3.04 exercise price | 2022-06-09 | |
| 2022-06-07 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct · (m) | G Bona fide gift | −100,000 0 owned after | $0.00 | 2022-06-09 | |
| 2022-06-07 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Class B Common Stock Derivative · Indirect · (m) | G Bona fide gift | +100,000 7,106,809 owned after | $0.00 | 2022-06-09 | |
| 2022-04-04 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 | 640,542 owned after | no price filed | 2022-04-04 | |
| 2022-04-04 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 | 2022-04-04 | |
| 2022-04-01 | 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 | 2022-04-04 | |
| 2022-04-01 | 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 | 2022-04-04 | |
| 2022-03-29 | Pressman Jason Director | 4 | Class B Common Stock Derivative · Indirect · By Shasta Ventures II, L.P. | C Conversion of derivative security | −1,000,000 0 owned after | $0.00 | 2022-03-31 | |
| 2022-03-21 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 | 2022-03-21 | |
| 2022-03-21 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 | 2022-03-21 | |
| 2022-03-17 | 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 | 2022-03-21 | |
| 2022-03-17 | 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 | 2022-03-21 | |
| 2022-01-10 | 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 | +1,822 1,822 owned after | $0.00 | 2022-01-12 | |
| 2022-01-10 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −1,822 0 owned after | $0.00 | 2022-01-12 | |
| 2022-01-04 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 | 640,542 owned after | no price filed | 2022-01-04 | |
| 2022-01-04 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 | 2022-01-04 | |
| 2022-01-03 | 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 | 2022-01-04 | |
| 2022-01-03 | 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 | 2022-01-04 |