SEC Form 4 · accession 0000899243-15-010138
Five9, Inc. · FIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry Zwarenstein
Officer — Chief Financial Officer
Period of report
Dec 16, 2015
Accepted (ET)
Dec 18, 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 | Dec 16, 2015 | M | 23,000 | $0.96 | A | 377,627 | D | |
| Common Stock | holding | — | — | — | 6,875 | I | By trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $0.96 | Dec 16, 2015 | M | 23,000 | D | — | Apr 27, 2022 | Common Stock | 23,000 | 44,023 | D |
Explanation of responses
- F1Includes 1,500 shares acquired under the Five9, Inc. employee stock purchase plan on May 15, 2015 and 1,500 shares acquired under the Five9, Inc. employee stock purchase plan on November 13, 2015.
- F2Original option grant was for 402,135 shares. Option began vesting with respect to 25% of shares subject to the option one year after January 11, 2012, and with respect to the remaining 75% of the shares subject to the option in 36 equal monthly installments thereafter.