Tzuo Tien's Form 4 filing
Zuora Inc (ZUO) · filed Jan 24, 2024
- Accession no.
- 0001423774-24-000045
- Filed
- Jan 24, 2024
- Trade date
- Jan 22-23, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 6 derivative transactions. Open-market sales total $2.19M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Tzuo TienCIK 0001735409 | Director, Officer (Chairman and CEO), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 22, 2024 | Class A Common Stock | MOption exerciseAcquired | +6,909 | $0.00 | $0 | 13,261 | Direct | |
| Jan 22, 2024 | Class A Common Stock | SSaleDisposed | −6,909 | $9.00F3 | −$62,181 | 6,352 | Direct | |
| Jan 23, 2024 | Class A Common Stock | MOption exerciseAcquired | +229,248 | $0.00 | $0 | 235,600 | Direct | |
| Jan 23, 2024 | Class A Common Stock | SSaleDisposed | −229,248 | $9.26F4 | −$2,122,836.48 | 6,352 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 22, 2024 | Class B Common Stock | MOption exerciseDisposed | −6,909 | $0.00 | $0 | 1,700,533 | Direct | |
| Jan 22, 2024 | Class A Common Stock | MOption exerciseAcquired | +6,909 | $0.00 | $0 | 6,909 | Direct | |
| Jan 22, 2024 | Class A Common Stock | CConversionDisposed | −6,909 | $0.00 | $0 | 0 | Direct | |
| Jan 23, 2024 | Class B Common Stock | MOption exerciseDisposed | −229,248 | $0.00 | $0 | 1,471,285 | Direct | |
| Jan 23, 2024 | Class A Common Stock | MOption exerciseAcquired | +229,248 | $0.00 | $0 | 229,248 | Direct | |
| Jan 23, 2024 | Class A Common Stock | CConversionDisposed | −229,248 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
Represents the weighted average sale price. The lowest price at which shares were sold was $9.00 and the highest price at which shares were sold was $9.03. The Reporting Person undertakes to provide upon request to the staff of the U.S. Securities and Exchange Commission, Zuora or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sale price. The lowest price at which shares were sold was $9.00 and the highest price at which shares were sold was $9.44. The Reporting Person undertakes to provide upon request to the staff of the U.S. Securities and Exchange Commission, Zuora or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.