0001423774-19-000076.txt : 20190709 0001423774-19-000076.hdr.sgml : 20190709 20190709185342 ACCESSION NUMBER: 0001423774-19-000076 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190708 FILED AS OF DATE: 20190709 DATE AS OF CHANGE: 20190709 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pileggi Jennifer CENTRAL INDEX KEY: 0001312322 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38451 FILM NUMBER: 19947968 MAIL ADDRESS: STREET 1: CNF INC. STREET 2: 2855 CAMPUS DRIVE CITY: SAN MATEO STATE: CA ZIP: 94403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZUORA INC CENTRAL INDEX KEY: 0001423774 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 205530976 FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 3050 SOUTH DELAWARE STREET STREET 2: SUITE 301 CITY: SAN MATEO STATE: CA ZIP: 94403 BUSINESS PHONE: 800-425-1281 MAIL ADDRESS: STREET 1: 3050 SOUTH DELAWARE STREET STREET 2: SUITE 301 CITY: SAN MATEO STATE: CA ZIP: 94403 4 1 wf-form4_156271280595571.xml FORM 4 X0306 4 2019-07-08 0 0001423774 ZUORA INC ZUO 0001312322 Pileggi Jennifer C/O ZUORA, INC. 3050 SOUTH DELAWARE STREET, SUITE 301 SAN MATEO CA 94403 0 1 0 0 SVP, GC and Corp. Secretary Class A Common Stock 2019-07-08 4 C 0 10000 0 A 24272 D Class A Common Stock 2019-07-08 4 S 0 10000 16.0235 D 14272 D Class A Common Stock 50000 I By The Bradley and Jennifer Pileggi Trust Stock Option (Right to buy Class B Common Stock) 3.34 2019-07-08 4 M 0 10000 0 D 2025-07-16 Class B Common Stock 10000.0 60000 D Class B Common Stock 0.0 2019-07-08 4 M 0 10000 0 A Class A Common Stock 10000.0 10000 D Class B Common Stock 0.0 2019-07-08 4 C 0 10000 0 D Class A Common Stock 10000.0 0 D This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person. Represents the weighted average sale price. The lowest price at which shares were sold was $16.00 and the highest price at which shares were sold was $16.10. The Reporting Person undertakes to provide upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth in this footnote. The securities are held of record by The Bradley and Jennifer Pileggi Trust, of which the Reporting Person is trustee. The option vests as to 1/4 of the shares on the anniversary of the June 8, 2015 vesting commencement date, and then 1/48 of the total shares vest monthly thereafter, with 100% of the total shares vested on June 8, 2019, subject to the Reporting Person's provision of service to the issuer on each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the Issuer's right of repurchase. Each share of the Issuer's Class B Common Stock will convert into 1 share of the Issuer's Class A Common Stock (a) at the option of the holder and (b) automatically upon (i) any transfer, except for certain permitted transfers, and (ii) the date that is the earliest of (x) the date specified by a vote of the holders of not less than 66 2/3% of the outstanding shares of Class B Common Stock, (y) ten years from the effective date of the Issuer's initial public offering and (z) the date that the total number of shares of outstanding Class B Common Stock ceases to represent at least 5% of all outstanding shares of the Issuer's common stock, and has no expiration date. /s/ Jennifer Pileggi 2019-07-09