Tzuo Tien 的 Form 4/A 修正申報
修正Zuora Inc（ZUO），2025/1/14 申報
- 申報編號
- 0001423774-25-000031
- 申報時間
- 2025/1/14
- 交易日
- 2024/12/31-2025/1/10
- 申報延遲
- 14 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2025/1/3
這份申報列了 4 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $48.8 萬。交易後 14 天申報。
這份修正申報取代了 0001423774-25-000027（2025/1/3 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Tzuo TienCIK 0001735409 | 董事、高階主管（董事長、執行長）、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/12/31 | Class A Common Stock | M行使選擇權取得 | +12,500 | $0.00 | $0 | 75,812 | 直接 | |
| 2024/12/31 | Class A Common Stock | M行使選擇權取得 | +58,333 | $0.00 | $0 | 134,145 | 直接 | |
| 2024/12/31 | Class A Common Stock | M行使選擇權取得 | +25,000 | $0.00 | $0 | 159,145 | 直接 | |
| 2025/1/10 | Class A Common Stock | S賣出處分 | −49,041 | $9.95 | −$487,957.95 | 110,104 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/12/31 | Class A Common Stock | M行使選擇權處分 | −12,500 | $0.00 | $0 | 12,500 | 直接 | |
| 2024/12/31 | Class A Common Stock | M行使選擇權處分 | −58,333 | $0.00 | $0 | 291,669 | 直接 | |
| 2024/12/31 | Class A Common Stock | M行使選擇權處分 | −25,000 | $0.00 | $0 | 225,000 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
The shares were sold to satisfy the tax liability of the Reporting Person in connection with the issuance of Class A Common Stock resulting from the vesting of restricted stock units under the Zuora, Inc. 2018 Equity Incentive Plan ("Plan").
- F2
Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Zuora's Class A Common Stock upon vesting for no consideration.
- F3
The RSUs vest over four years, with 1/8 of the shares underlying the initial award vesting on September 30, 2021 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 Zuora through each vesting date.
- F4
RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.
- F5
The RSUs vest over three years, with 1/6 of the shares underlying the initial award vesting on September 30, 2023, and the remaining shares vesting as to 1/12 of the shares underlying the initial award quarterly thereafter, so long as the Reporting Person continues to provide services to Zuora through each vesting date.
- F6
The RSUs vest over three years, with 1/6 of the shares underlying the initial award vesting on September 30, 2024, and the remaining shares vesting as to 1/12 of the shares underlying the initial award quarterly thereafter, so long as the Reporting Person continues to provide services to Zuora through each vesting date.
備註
Due to an administrative error, the Reporting Person filed a Form 4 on January 3, 2025 which inadvertently reported that, following the vesting of certain RSUs under the Plan, 48,569 shares of the Company Class A Common Stock were sold on January 2, 2025 to satisfy the tax liability of the Reporting Person. No sales were made on that day. As noted above, the Reporting Person actually sold 49,041 shares of Class A Common Stock to satisfy the tax liability of the Reporting Person on January 10, 2025. This Form 4 is amended to correct the date, price, and number of shares of Class A Common Stock sold in the transaction.