Five9, Inc. — Director's Dealing 2014

Apr 3, 2014

SEC Form 3 — Initial Statement of 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)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3493291	Direct
Common Stock	675221	Indirect
Common Stock	1112333	Indirect
Common Stock	675223	Indirect
Common Stock	274920	Indirect
Common Stock	24459	Indirect
Common Stock	24459	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Warrant (right to buy common stock)	$0.652		Common Stock (7804)		Direct
Warrant (right to buy common stock)	$0.652		Common Stock (1283)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (2114)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (1283)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (522)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (54)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (54)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (11706)		Direct
Warrant (right to buy common stock)	$0.652		Common Stock (1924)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (3170)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (1924)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (783)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (81)		Indirect
Warrant (right to buy common stock)	$0.652		Common Stock (81)		Indirect

Footnotes

F1: Partech U.S. Partners IV, L.L.C. ("Partech US") is the record owner of 3,493,291 shares, Partech International Growth Capital I L.L.C. ("Partech I") is the record owner of 675,221 shares, Partech International Growth Capital II L.L.C. ("Partech II") is the record owner of 1,112,333 shares, Partech International Growth Capital III L.L.C. ("Partech III") is the record owner of 675,223 shares, AXA Growth Capital II L.P. ("AXA") is the record owner of 274,920 shares, 45th Parallel L.L.C. ("45th Parallel") is the record owner of 24,459 shares, and Par SF II, L.L.C.

F2: (Continued from footnote 1)("Par SF") is the record owner of 24,453 shares. Vincent R. Worms is (A) the sole member of Par SF, (B) the managing member of 47th Parallel, L.L.C., which is the managing member of Partech US, (C) the managing member of 45th Parallel, which is the managing member of 46th Parallel, L.L.C., which is the managing member of Partech I, Partech II and Partech III and (D) the managing member of 48th Parallel, L.L.C., which is the investment general partner of AXA, and 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.

F3: Partech US is the record owner of warrants exercisable for 7,804 shares, Partech I is the record owner of warrants to purchase 1,283 shares, Partech II is the record owner of warrants to purchase 2,114 shares, Partech III is the record owner of warrants to purchase 1,283 shares, AXA is the record owner of warrants to purchase 522 shares, 45th Parallel is the record owner of warrants to purchase 54 shares and PAR SF is the record owners of warrants to purchase 54 shares.

F4: (Continued from footnote 3)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. 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.

F5: Partech US is the record owner of warrants exercisable for 11,706 shares, Partech I is the record owner of warrants to purchase 1,924 shares, Partech II is the record owner of warrants to purchase 3,170 shares, Partech III is the record owner of warrants to purchase 1,924 shares, AXA is the record owner of warrants to purchase 783 shares, 45th Parallel is the record owner of warrants to purchase 81 shares and PAR SF is the record owners of warrants to purchase 81 shares.

F6: (Continued from footnote 5)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. 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.