Amended Statement of Changes in Beneficial Ownership (4/a)
June 14 2021 - 4:07PM
Edgar (US Regulatory)
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
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1. Name and Address of Reporting Person
*
Pileggi Jennifer |
2. Issuer Name and Ticker or Trading Symbol
ZUORA INC
[
ZUO
]
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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., 101 REDWOOD SHORES PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/1/2019 |
(Street)
REDWOOD CITY, CA 94065
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/20/2019 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 6/19/2019 | | C | | 10000 (1) | A | $0 | 11785 | D | |
Class A Common Stock | 6/19/2019 | | S(2) | | 10000 | D | $16.0125 (3) | 1785 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (RSU)(Class A) | (4) | 5/1/2019 | | A | | 12000 | | (5) | (6) | Class A Common Stock | 12000.0 | $0 | 12000 | D | |
Explanation of Responses: |
(1) | Represents the number of shares that were acquired by the Reporting Person upon conversion of shares of Class B Common Stock into Class A Common Stock in connection with the exercise of the stock options. |
(2) | This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person. |
(3) | 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 $16.06. 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. |
(4) | Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A Common Stock upon vesting for no consideration. |
(5) | The RSUs vest over four years, with 1/16 of the shares underlying the initial award vesting on June 30, 2019 and the remaining shares vesting as to 1/16 of the shares underlying the initial award quarterly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date. |
(6) | RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. |
Remarks: This amendment to Form 4 filed on June 20, 2019, (this "Amendment") reflects the reporting of the acquisition of RSUs in Table II of Form 4, which RSUs were previously reported in Table I of Form 4 filed on June 20, 2019. The total shares beneficially owned by the Reporting Person following the transactions reported in Table I have been corrected in this Amendment as a result of the RSUs being reported in Table II. The Reporting Person's direct holdings as reported in Table I of Forms 4 filed between July 2, 2019, and April 14, 2021, are also revised by this Amendment to reflect the reporting of the RSUs in Table II as set forth herein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Pileggi Jennifer C/O ZUORA, INC. 101 REDWOOD SHORES PARKWAY REDWOOD CITY, CA 94065 |
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| SVP, GC and Corp. Secretary |
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Signatures
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/s/ Jennifer Pileggi | | 6/14/2021 |
**Signature of Reporting Person | Date |
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