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Five9, Inc. — Director's Dealing 2014
Apr 7, 2014
31693_dirs_2014-04-07_551fdd9d-7e58-4a23-958e-4927740e69d0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Five9, Inc. (FIVN)
CIK: 0001288847
Period of Report: 2014-04-03
Reporting Person: Partech U.S. Partners IV, L.L.C. (10% Owner)
Reporting Person: WORMS VINCENT (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-04-03 | Common Stock | X | 19510 | $0.00 | Acquired | 3512801 | Direct |
| 2014-04-03 | Common Stock | S | 1818 | $7.00 | Disposed | 3510983 | Direct |
| 2014-04-03 | Common Stock | X | 3207 | $0.00 | Acquired | 678428 | Indirect |
| 2014-04-03 | Common Stock | S | 300 | $7.00 | Disposed | 678128 | Indirect |
| 2014-04-03 | Common Stock | X | 5284 | $0.00 | Acquired | 1117617 | Indirect |
| 2014-04-03 | Common Stock | S | 493 | $7.00 | Disposed | 1117124 | Indirect |
| 2014-04-03 | Common Stock | X | 3207 | $0.00 | Acquired | 678430 | Indirect |
| 2014-04-03 | Common Stock | S | 300 | $7.00 | Disposed | 678130 | Indirect |
| 2014-04-03 | Common Stock | X | 1305 | $0.00 | Acquired | 276225 | Indirect |
| 2014-04-03 | Common Stock | S | 122 | $7.00 | Disposed | 276103 | Indirect |
| 2014-04-03 | Common Stock | X | 135 | $0.00 | Acquired | 24594 | Indirect |
| 2014-04-03 | Common Stock | S | 14 | $7.00 | Disposed | 24580 | Indirect |
| 2014-04-03 | Common Stock | X | 135 | $0.00 | Acquired | 24594 | Indirect |
| 2014-04-03 | Common Stock | S | 14 | $7.00 | Disposed | 24580 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 7804 | Disposed | 2014-04-09 | Common Stock (7804) | Direct |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 1283 | Disposed | 2014-04-09 | Common Stock (1283) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 2114 | Disposed | 2014-04-09 | Common Stock (2114) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 1283 | Disposed | 2014-04-09 | Common Stock (1283) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 522 | Disposed | 2014-04-09 | Common Stock (522) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 54 | Disposed | 2014-04-09 | Common Stock (54) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 54 | Disposed | 2014-04-09 | Common Stock (54) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 11706 | Disposed | 2014-04-09 | Common Stock (11706) | Direct |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 1924 | Disposed | 2014-04-09 | Common Stock (1924) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 3170 | Disposed | 2014-04-09 | Common Stock (3170) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 1924 | Disposed | 2014-04-09 | Common Stock (1924) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 783 | Disposed | 2014-04-09 | Common Stock (783) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 81 | Disposed | 2014-04-09 | Common Stock (81) | Indirect |
| 2014-04-03 | Warrant (right to buy common stock) | $0.652 | X | 81 | Disposed | 2014-04-09 | Common Stock (81) | Indirect |
Footnotes
F1: Vincent R. Worms is (A) the sole member of Par SF II L.L.C. ("Par SF"), (B) the managing member of 47th Parallel, L.L.C. ("47th Parallel"), which is the managing member of Partech U.S. Partners IV, L.L.C. ("Partech US"), (C) the managing member of 45th Parallel L.L.C. ("45th Parallel"), which is the managing member of 46th Parallel L.L.C. ("46th Parallel"), which is the managing member of Partech International Growth Capital I L.L.C. ("Partech I"), Partech International Growth Capital II L.L.C.("Partech II") and Partech International Growth Capital III L.L.C. ("Partech III")
F2: (Continued from footnote1) and (D) the managing member of 48th Parallel L.L.C. ("48th Parallel"), which is the investment general partner of AXA Growth Capital II L.P. ("AXA").
F3: Vincent R. Worms may be deemed to have voting control and investment power over the securities held by Par SF, Partech US, 45th Parallel, Partech I, Partech II, Partech III and AXA, but disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F4: The warrants are exercisable, in whole or in part, until the earliest to occur of (i) the seven (7)-year anniversary of February 28, 2008; or (ii) the issuance and sale of shares of the Company's common stock in the Company's first underwritten public offering pursuant to an effective registration statement.
F5: The warrants are exercisable, in whole or in part, until the earliest to occur of (i) the seven (7)-year anniversary of July 15, 2008; or (ii) the issuance and sale of shares of the Company's common stock in the Company's first underwritten public offering pursuant to an effective registration statement.