Statement of Changes in Beneficial Ownership (4)

Date : 01/03/2020 @ 10:43PM
Source : Edgar (US Regulatory)
Stock : Zuora Inc (ZUO)
Quote : 8.05  -0.38 (-4.51%) @ 12:31AM
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Statement of Changes in Beneficial Ownership (4)

FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Pileggi Jennifer
2. Issuer Name and Ticker or Trading Symbol

ZUORA INC [ ZUO ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
SVP, GC and Corp. Secretary
(Last)          (First)          (Middle)

C/O ZUORA, INC., 3050 SOUTH DELAWARE STREET, SUITE 301
3. Date of Earliest Transaction (MM/DD/YYYY)

12/31/2019
(Street)

SAN MATEO, CA 94403
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 12/31/2019  M  750 A$0 15509 D  
Class A Common Stock 1/2/2020  S  264 (1)D$14.1906 (2)15245 D  
Class A Common Stock         50000 I By The Bradley and Jennifer Pileggi Trust (3)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units (RSU)(Class A)  (4)12/31/2019  M     750   (5)3/31/2023 Class A Common Stock 750.0 $0 9750 D  

Explanation of Responses:
(1) Shares withheld to satisfy the Reporting Person's tax liability in connection with the issuance of Class A Common Stock resulting from the vesting of restricted stock units ("RSUs") as reported in row one of Table I.
(2) Represents the weighted average sale price. The lowest price at which shares were sold was $14.19 and the highest price at which shares were sold was $14.34. 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.
(3) The securities are held of record by The Bradley and Jennifer Pileggi Trust, of which the Reporting Person is trustee.
(4) Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement for no consideration.
(5) The RSU vests over four years, with 1/16 of the underlying shares vesting on June 30, 2019 and the remaining shares vesting as to 1/16 of such shares quarterly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Pileggi Jennifer
C/O ZUORA, INC.
3050 SOUTH DELAWARE STREET, SUITE 301
SAN MATEO, CA 94403


SVP, GC and Corp. Secretary

Signatures
/s/ Jennifer Pileggi1/3/2020
**Signature of Reporting PersonDate

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