0001423774-18-000019.txt : 20180907 0001423774-18-000019.hdr.sgml : 20180907 20180907184815 ACCESSION NUMBER: 0001423774-18-000019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180905 FILED AS OF DATE: 20180907 DATE AS OF CHANGE: 20180907 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Diouane Marc CENTRAL INDEX KEY: 0001502328 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38451 FILM NUMBER: 181061074 MAIL ADDRESS: STREET 1: C/O ZUORA, INC. STREET 2: 3050 S. DELAWARE ST., #301 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_153636047896913.xml FORM 4 X0306 4 2018-09-05 0 0001423774 ZUORA INC ZUO 0001502328 Diouane Marc C/O ZUORA, INC. 3050 SOUTH DELAWARE STREET, SUITE 301 SAN MATEO CA 94403 0 1 0 0 President Class A Common Stock 2018-09-05 4 C 0 34200 0 A 34200 D Class A Common Stock 2018-09-05 4 S 0 29000 25.7507 D 5200 D Class A Common Stock 2018-09-05 4 S 0 5200 26.7102 D 0 D Stock Option (Right to buy Class B Common Stock) 3.04 2018-09-05 4 M 0 34200 0 D 2024-11-17 Class B Common Stock 34200.0 90800 D Class B Common Stock 2018-09-05 4 M 0 34200 0 A Class A Common Stock 34200.0 512099 D Class B Common Stock 2018-09-05 4 C 0 34200 0 D Class A Common Stock 34200.0 477899 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 $25.23 and the highest price at which shares were sold was $26.20. 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 ranges set forth in footnotes 2 and 3 to this Form 4. Represents the weighted average sale price. The lowest price at which shares were sold was $26.26 and the highest price at which shares were sold was $27.05. The option vests as to 1/12 of the shares monthly following the January 1, 2018 vesting commencement date, with 100% of the total shares vested on January 1, 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 as attorney-in-fact for Marc Diouane 2018-09-07