0001423774-24-000133.txt : 20240502 0001423774-24-000133.hdr.sgml : 20240502 20240502163429 ACCESSION NUMBER: 0001423774-24-000133 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240430 FILED AS OF DATE: 20240502 DATE AS OF CHANGE: 20240502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARKEY JOHN D JR CENTRAL INDEX KEY: 0001235775 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38451 FILM NUMBER: 24909067 MAIL ADDRESS: STREET 1: 305 MAIN STREET CITY: REDWOOD CITY STATE: CA ZIP: 94063 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZUORA INC CENTRAL INDEX KEY: 0001423774 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] ORGANIZATION NAME: 06 Technology IRS NUMBER: 205530976 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 101 REDWOOD SHORES PARKWAY CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 888-976-9056 MAIL ADDRESS: STREET 1: 101 REDWOOD SHORES PARKWAY CITY: REDWOOD CITY STATE: CA ZIP: 94065 4 1 wk-form4_1714682054.xml FORM 4 X0508 4 2024-04-30 0 0001423774 ZUORA INC ZUO 0001235775 HARKEY JOHN D JR C/O ZUORA, INC. 101 REDWOOD SHORES PARKWAY REDWOOD CITY CA 94065 1 0 0 0 0 Class A Common Stock 2024-04-30 4 A 0 40567 0 A 43567 D Class A Common Stock 100000 I By Abraxus Trust Class A Common Stock 437218 I By JDH Life Sciences, Inc. Reflects Restricted Stock Units (RSUs) granted on April 30, 2024, upon the appointment of the Reporting Person to Zuora's Board of Directors. Each RSU represents a contingent right to receive one share of Zuora's Class A Common Stock upon settlement. The RSUs will vest and convert into shares of Zuora's Class A Common Stock as to 1/3rd of the total number of RSUs subject to the award on each of April 30, 2025, April 30, 2026, and April 30, 2027, in each case, so long as the Reporting Person continues to provide services to Zuora through such date. The vesting of the RSUs shall accelerate in full upon the consummation of a Corporate Transaction, as defined in Zuora's 2018 Equity Incentive Plan. Reporting Person is the trustee and sole beneficiary of the Abraxus Trust and may be deemed to have sole voting and dispositive power with regard to the shares held by the Abraxus Trust. Reporting Person is the president and sole beneficial owner of JDH Life Sciences, Inc., and may be deemed to share voting and dispositive power with regard to the shares held by JDH Life Sciences, Inc., with Scalar Gauge Management, LLC. /s/ Diana Lorenz as attorney-in-fact for John D. Harkey, Jr. 2024-05-02