SEC Form 4 · accession 0000899243-18-030834

ZUORA INC · ZUO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Michelangelo Volpi

Director

Period of report

Dec 11, 2018

Accepted (ET)

Dec 13, 2018 · 2:30 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001423774

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock^F1,F2,F7	Dec 11, 2018	C	1,053,868	$0.00	A	1,053,868	I	See Footnotes
Class A Common Stock^F3,F2,F7	Dec 11, 2018	S	135,413	$18.6567	D	918,455	I	See Footnotes
Class A Common Stock^F4,F2,F7	Dec 12, 2018	S	554,860	$18.7682	D	363,595	I	See Footnotes
Class A Common Stock^F1,F5,F7	Dec 11, 2018	C	3,860	$0.00	A	3,860	I	See Footnotes
Class A Common Stock^F3,F5,F7	Dec 11, 2018	S	496	$18.6567	D	3,364	I	See Footnotes
Class A Common Stock^F4,F5,F7	Dec 12, 2018	S	2,032	$18.7682	D	1,332	I	See Footnotes
Class A Common Stock^F1,F6,F7	Dec 11, 2018	C	13,389	$0.00	A	13,389	I	See Footnotes
Class A Common Stock^F3,F6,F7	Dec 11, 2018	S	1,720	$18.6567	D	11,669	I	See Footnotes
Class A Common Stock^F4,F6,F7	Dec 12, 2018	S	7,049	$18.7682	D	4,620	I	See Footnotes

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F2,F7,F1	—	Dec 11, 2018	C	1,053,868	D	—	—	Class A Common Stock	1,053,868	2,107,738	I
Class B Common Stock^F5,F7,F1	—	Dec 11, 2018	C	3,860	D	—	—	Class A Common Stock	3,860	7,722	I
Class B Common Stock^F6,F7,F1	—	Dec 11, 2018	C	13,389	D	—	—	Class A Common Stock	13,389	26,778	I

Explanation of responses

F1At the request of the holder, on December 11, 2018, each such share of the issuer's Class B Common Stock converted into one (1) share of the issuer's Class A Common Stock.
F2The securities are held by Index Ventures Growth II (Jersey), L.P. ("IVG II"). Index Venture Growth Associates II Limited ("Associates") is the general partner of IVG II.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.25 - $19.01, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.58 - $19.055, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5The securities are held directly by Index Ventures Growth II Parallel Entrepreneur Fund (Jersey), L.P. ("Parallel"). Associates is the general partner of Parallel.
F6The securities are held directly by Yucca (Jersey) SLP ("Yucca"). The general partner of Yucca is Yucca Associates Limited ("YAL").
F7The Reporting Person is a partner within the Index Ventures group. Advisors within the Index Ventures group provide advice to IVG II, Parallel and Yucca (collectively, the "Index Funds"). The Reporting Person is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. The Reporting Person disclaims Section 16 beneficial ownership of these securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.