Zuora, Inc Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-22: 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.
- 2020-12-14: 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.
- 2020-12-08: 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.
- 2020-06-22: Reporting owner McElhatton Todd; Form 4; Security Stock Option (Right to buy Class A Common Stock); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-12-22 | 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 20,000 owned after | $3.34 | 2020-12-23 | |
| 2020-12-14 | 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 | −15,000 30,000 owned after | $3.34 | 2020-12-15 | |
| 2020-12-08 | 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 | −15,000 45,000 owned after | $3.34 | 2020-12-10 | |
| 2020-06-22 | McElhatton Todd Officer (Chief Financial Officer) | 4 | Stock Option (Right to buy Class A Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $13.51 exercise price | 2020-06-24 | |
| 2020-05-27 | Tzuo Tien Director, Officer (Chairman and CEO), 10% Owner | 4 | Stock Option (Right to buy Class A Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $11.66 exercise price | 2020-05-28 | |
| 2020-05-11 | Pileggi Jennifer Officer (SVP, GC and Corp. Secretary) | 4 | Stock Option (Right to buy Class A Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $11.53 exercise price | 2020-05-13 | |
| 2020-05-11 | Traube Robert J. Officer (Chief Revenue Officer) | 4 | Stock Option (Right to buy Class A Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $11.53 exercise price | 2020-05-13 | |
| 2020-05-11 | Cromley Brent R. Jr. Officer (SVP, Technology) | 4 | Stock Option (Right to buy Class A Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $11.53 exercise price | 2020-05-13 | |
| 2020-05-11 | BATTAGLINI PAOLO Officer (Interim CFO) | 4 | Stock Option (Right to buy Class A Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $11.53 exercise price | 2020-05-13 | |
| 2020-04-15 holding as of filing | BATTAGLINI PAOLO Officer (Interim CFO) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $3.24 exercise price | 2020-04-15 | ||
| 2020-04-15 holding as of filing | BATTAGLINI PAOLO Officer (Interim CFO) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $5.16 exercise price | 2020-04-15 | ||
| 2020-04-15 holding as of filing | BATTAGLINI PAOLO Officer (Interim CFO) | 3 | Stock Option (Right to buy Class B Common Stock) Derivative · Direct | Holding | $7.94 exercise price | 2020-04-15 | ||
| 2020-04-15 holding as of filing | BATTAGLINI PAOLO Officer (Interim CFO) | 3 | Stock Option (Right to buy Class A Common Stock) Derivative · Direct | Holding | $21.38 exercise price | 2020-04-15 |