SEC Form 4 · accession 0001288847-17-000151
Five9, Inc. · FIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Barry Zwarenstein
Officer — Interim CEO, CFO and Secretary
Period of report
Dec 18, 2017
Accepted (ET)
Dec 20, 2017 · 7:19 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 | Dec 18, 2017 | A | 10,410 | $0.00 | A | 131,778 | D | |
| Common Stock | Dec 20, 2017 | M | 10,000 | $4.25 | A | 141,778 | D | |
| Common Stock | holding | — | — | — | 257,821 | 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 | $24.01 | Dec 18, 2017 | A | 23,039 | A | — | Dec 18, 2027 | Common Stock | 23,039 | 23,039 | D |
| Employee Stock Option (right to buy)F2 | $4.25 | Dec 20, 2017 | M | 10,000 | D | — | Nov 5, 2024 | Common Stock | 10,000 | 41,500 | D |
Explanation of responses
- F1The option vests in 12 equal monthly installments beginning on the one month anniversary of December 2, 2017.
- F2The option vests in 48 equal monthly installments beginning on the one month anniversary of November 5, 2014.