SEC Form 4 · accession 0001209191-15-044401
Five9, Inc. · FIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mitchell Kertzman
Director · 10% Owner
Period of report
May 15, 2015
Accepted (ET)
May 19, 2015 · 4:27 pm EDT
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 | May 15, 2015 | A | 27,173 | $0.00 | A | 52,173 | D | |
| Common StockF2,F3 | holding | — | — | — | 8,410,041 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported shares are owned directly by Mitchell Kertzman, who is a managing member of Hummer Winblad Equity Partners V, L.L.C. ("HWEP V"), which is the general partner of Hummer Winblad Venture Partners V, L.P. ("HWVP V") and Hummer Winblad Venture Partners V-A, L.P. ("HWVP VA"). By agreement with the funds, Mr. Kertzman is deemed to hold the shares for the benefit of the funds. Mr. Kertzman disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
- F2Shares are owned directly by HWVP V as nominee for HWVP V and HWVP VA. Mitchell Kertzman is a managing member of HWEP V, which is the general partner of HWVP V and HWVP VA.
- F3Mr. Kertzman may be deemed the beneficial owner of the reported shares, but disclaims beneficial ownership of all shares held by HWVP V except to the extent of his pecuniary interests therein.