SEC Form 4 · accession 0001288847-17-000115

Five9, Inc. · FIVN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP Global Sales and Services

Period of report

Aug 21, 2017

Accepted (ET)

Aug 22, 2017 · 4:34 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^F1	Aug 21, 2017	M	10,000	$0.28	A	170,835	D
Common Stock^F2,F3	Aug 21, 2017	S	10,000	$20.41	D	140,638	D
Common Stock	holding	—	—		—	20,197	I	by Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4	$0.28	Aug 21, 2017	M	10,000	D	—	Dec 15, 2019	Common Stock	10,000	99,401	D

F1Includes 1,500 shares acquired under the issuer's employee stock purchase plan.
F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2016.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.29 to $20.54, 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.
F4The original option was for 376,901 shares. Option began vesting with respect to 25% of shares subject to the option one year after December 15, 2009, and with respect to the remaining 75% of the shares subject to the option in 36 equal monthly installments thereafter.