SEC Form 4 · accession 0000899243-16-011132
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
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 4:05 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 Stock | Jan 4, 2016 | M | 35,645 | $0.96 | A | 413,272 | D | |
| Common Stock | Jan 4, 2016 | M | 27,895 | $4.25 | A | 441,167 | 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)F1 | $0.96 | Jan 4, 2016 | M | 35,645 | D | — | Apr 27, 2022 | Common Stock | 35,645 | 8,378 | D |
| Employee Stock Option (right to buy)F2 | $4.25 | Jan 4, 2016 | M | 27,895 | D | — | Nov 5, 2024 | Common Stock | 27,895 | 75,105 | D |
Explanation of responses
- F1Original 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.
- F2Original option grant was for 103,000 shares. Option began vesting in 48 equal monthly installments beginning on the one-month anniversary of November 5, 2014.