0001423774-21-000105.txt : 20210917 0001423774-21-000105.hdr.sgml : 20210917 20210917170922 ACCESSION NUMBER: 0001423774-21-000105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210915 FILED AS OF DATE: 20210917 DATE AS OF CHANGE: 20210917 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: 211261212 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 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 wf-form4_163191294270506.xml FORM 4 X0306 4 2021-09-15 0 0001423774 ZUORA INC ZUO 0001312322 Pileggi Jennifer C/O ZUORA, INC. 101 REDWOOD SHORES PARKWAY REDWOOD CITY CA 94065 0 1 0 0 SVP, GC and Corp. Secretary Class A Common Stock 2021-09-15 4 M 0 38264 0 A 44161 D Class A Common Stock 2021-09-15 4 M 0 20900 0 A 65061 D Class A Common Stock 2021-09-15 4 M 0 1823 0 A 66884 D Class A Common Stock 2021-09-15 4 M 0 2083 11.53 A 68967 D Class A Common Stock 2021-09-15 4 S 0 63070 16.4883 D 5897 D Class A Common Stock 50000 I By The Bradley and Jennifer Pileggi Trust Stock Option (Right to buy Class B Common Stock) 3.28 2021-09-15 4 M 0 38264 0 D 2027-02-04 Class B Common Stock 38264.0 0 D Class B Common Stock 0.0 2021-09-15 4 M 0 38264 0 A Class A Common Stock 38264.0 38264 D Class B Common Stock 0.0 2021-09-15 4 C 0 38264 0 D Class A Common Stock 38264.0 0 D Stock Option (Right to buy Class B Common Stock) 3.48 2021-09-15 4 M 0 20900 0 D 2025-11-17 Class B Common Stock 20900.0 0 D Class B Common Stock 0.0 2021-09-15 4 M 0 20900 0 A Class A Common Stock 20900.0 20900 D Class B Common Stock 0.0 2021-09-15 4 C 0 20900 0 D Class A Common Stock 20900.0 0 D Stock Option (Right to buy Class B Common Stock) 7.94 2021-09-15 4 M 0 1823 0 D 2028-03-08 Class B Common Stock 1823.0 23531 D Class B Common Stock 0.0 2021-09-15 4 M 0 1823 0 A Class A Common Stock 1823.0 1823 D Class B Common Stock 0.0 2021-09-15 4 C 0 1823 0 D Class A Common Stock 1823.0 0 D Stock Option (Right to buy Class A Common Stock) 11.53 2021-09-15 4 M 0 2083 0 D 2030-05-11 Class A Common Stock 2083.0 64584 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 $16.21 and the highest price at which shares were sold was $16.71. 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 a trustee. The option is fully vested and exercisable. 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. The option vests over four years, with 1/48 of the shares vesting on March 8, 2018 and the remaining shares vesting as to 1/48 of the award monthly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date. The option vests over four years, with 1/48 of the shares vesting on May 1, 2020 and the remaining shares vesting as to 1/48 of the award monthly thereafter, so long as the Reporting Person continues to provide services to the Issuer through each vesting date. /s/ Jennifer Pileggi 2021-09-17