SEC Form 4 · accession 0001209191-15-009489
Five9, Inc. · FIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel P. Burkland
Officer — EVP, Sales & Business Dev.
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 5:04 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 | Feb 2, 2015 | M | 2,500 | $0.28 | A | 144,000 | D | |
| Common StockF1 | Feb 2, 2015 | S | 2,500 | $3.80 | D | 141,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $0.28 | Feb 2, 2015 | M | 2,500 | D | — | Dec 15, 2019 | Common Stock | 2,500 | 244,401 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.72 to $3.93, inclusive. The reporting person undertakes to provide Five9, Inc., any security holder of Five9, Inc., 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 ranges set forth in this footnote.
- F2The holder of the option may exercise it at any time.
Remarks
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2014, as modified on June 10, 2014