SEC Form 4 · accession 0001288847-16-000122
Five9, Inc. · FIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Welch
Officer — EVP, Cloud Operations
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 4:40 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 Stock | Sep 6, 2016 | S | 1,065 | $15.80 | D | 198,247 | D | |
| Common StockF2 | Sep 6, 2016 | S | 9,507 | $15.72 | D | 188,740 | D | |
| Common Stock | Sep 6, 2016 | S | 764 | $15.92 | D | 187,976 | D | |
| Common StockF3,F4 | Sep 6, 2016 | S | 17,240 | $15.60 | D | 170,736 | D | |
| Common StockF3,F5 | Sep 6, 2016 | S | 2,812 | $15.91 | D | 167,924 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported sales were to cover taxes upon the vesting of restricted stock units.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.71 to $15.74, 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.
- F3The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2016.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.54 to $15.68, 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.71 to $16.16, 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.