Zuora, Inc Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-10: Reporting owner Pileggi Jennifer; Form 4; Security Stock Option (Right to buy Class B Common Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-12-06: Reporting owner Diouane Marc; Form 4; Security Stock Option (Right to buy Class B Common Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-12-06: Reporting owner Diouane Marc; Form 4; Security Stock Option (Right to buy Class B Common Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-10-08: Reporting owner Pileggi Jennifer; Form 4; Security Stock Option (Right to buy Class B Common Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-12-10 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 110,000 owned after | $3.34 exercise price | 2018-12-12 | |
| 2018-12-06 | Diouane Marc Officer (President) | 4 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,384 10,416 owned after | $3.04 exercise price | 2018-12-10 | |
| 2018-12-06 | Diouane Marc Officer (President) | 4 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,116 199,883 owned after | $3.28 exercise price | 2018-12-10 | |
| 2018-10-08 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 120,000 owned after | $3.34 exercise price | 2018-10-10 | |
| 2018-09-10 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 130,000 owned after | $3.34 exercise price | 2018-09-12 | |
| 2018-09-05 | Diouane Marc Officer (President) | 4 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −34,200 90,800 owned after | $3.04 exercise price | 2018-09-07 | |
| 2018-04-13 | YESIL MAGDALENA Director | 4 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,439 101,561 owned after | $5.16 exercise price | 2018-04-16 | |
| 2018-04-11 holding as of filing | Pileggi Jennifer Officer (See Remarks) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct · (m) | Holding | $3.34 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Pileggi Jennifer Officer (See Remarks) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct · (m) | Holding | $3.48 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Pileggi Jennifer Officer (See Remarks) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct · (m) | Holding | $3.28 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Pileggi Jennifer Officer (See Remarks) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct · (m) | Holding | $7.94 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Tzuo Tien Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct · (m) | Holding | $3.04 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Tzuo Tien Director, Officer (See Remarks), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct · (m) | Holding | $7.94 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Diouane Marc Officer (President), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.04 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Diouane Marc Officer (President), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.08 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Diouane Marc Officer (President), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.28 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Diouane Marc Officer (President), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $5.16 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Diouane Marc Officer (President), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $7.94 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | YESIL MAGDALENA Director | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $5.16 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Sloat Tyler Officer (Chief Financial Officer), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.04 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Sloat Tyler Officer (Chief Financial Officer), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.08 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Sloat Tyler Officer (Chief Financial Officer), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.28 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Sloat Tyler Officer (Chief Financial Officer), 10% Owner | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $6.00 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | GOLDMAN KENNETH A Director | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct · (m) | Holding | $3.24 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Cromley Brent R. Jr. Officer (See Remarks) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.44 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Cromley Brent R. Jr. Officer (See Remarks) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.28 exercise price | 2018-04-11 | ||
| 2018-04-11 holding as of filing | Cromley Brent R. Jr. Officer (See Remarks) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $6.00 exercise price | 2018-04-11 |