SEC Form 4 · accession 0000899243-15-009316
Five9, Inc. · FIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 2, 2015
Accepted (ET)
Dec 4, 2015 · 4:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001288847
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Dec 2, 2015 | J | 678,128 | $0.00 | D | 0 | I | By Partech International Growth Capital I L.L.C. |
| Common StockF1,F2,F3 | Dec 2, 2015 | J | 1,117,124 | $0.00 | D | 0 | I | By Partech International Growth Capital II L.L.C. |
| Common StockF1,F2,F3 | Dec 2, 2015 | J | 678,130 | $0.00 | D | 0 | I | By Partech International Growth Capital III L.L.C. |
| Common StockF1,F2,F3 | Dec 2, 2015 | J | 276,103 | $0.00 | D | 0 | I | By AXA Growth Capital II L.P. |
| Common Stock | holding | — | — | — | 3,510,983 | D | ||
| Common StockF1,F2,F3 | holding | — | — | — | 24,580 | I | By 45th Parallel L.L.C. | |
| Common StockF1,F2,F3 | holding | — | — | — | 24,580 | I | By Par SF II, L.L.C. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Vincent R. Worms is (A) the sole member of Par SF II L.L.C. ("Par SF"), (B) the managing member of 47th Parallel, L.L.C. ("47th Parallel"), which is the managing member of Partech U.S. Partners IV, L.L.C. ("Partech US"), (C) the managing member of 45th Parallel L.L.C. ("45th Parallel"), which is the managing member of 46th Parallel L.L.C. ("46th Parallel"), which is the managing member of Partech International Growth Capital I L.L.C. ("Partech I"), Partech International Growth Capital II L.L.C.("Partech II") and Partech International Growth Capital III L.L.C. ("Partech III")
- F2(Continued from footnote1) and (D) the managing member of 48th Parallel L.L.C. ("48th Parallel"), which is the investment general partner of AXA Growth Capital II L.P. ("AXA").
- F3Vincent R. Worms may be deemed to have voting control and investment power over the securities held by Par SF, Partech US, 45th Parallel, Partech I, Partech II, Partech III and AXA, but disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
Remarks
Form 2 of 2 Five9, Inc. shares were distributed out to various partners by Partech I, Partech II, Partech III and AXA.