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Five9, Inc. — Director's Dealing 2018
Mar 1, 2018
31693_dirs_2018-02-28_73a22ba2-32f4-4da7-af77-40f1a6a51733.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: 2018-02-26
Reporting Person: WELCH SCOTT (EVP, Cloud Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-26 | Common Stock | M | 15750 | $4.25 | Acquired | 119113 | Direct |
| 2018-02-26 | Common Stock | S | 15750 | $29.55 | Disposed | 103363 | Direct |
| 2018-02-26 | Common Stock | M | 12704 | $8.13 | Acquired | 116067 | Direct |
| 2018-02-26 | Common Stock | S | 12704 | $29.55 | Disposed | 103363 | Direct |
| 2018-02-26 | Common Stock | M | 61546 | $12.24 | Acquired | 164909 | Direct |
| 2018-02-26 | Common Stock | S | 61546 | $29.55 | Disposed | 103363 | Direct |
| 2018-02-26 | Common Stock | A | 25097 | — | Acquired | 128460 | Direct |
| 2018-02-27 | Common Stock | M | 32058 | $12.24 | Acquired | 160518 | Direct |
| 2018-02-27 | Common Stock | S | 32058 | $29.56 | Disposed | 128460 | Direct |
| 2018-02-27 | Common Stock | M | 12376 | $16.25 | Acquired | 140836 | Direct |
| 2018-02-27 | Common Stock | S | 12376 | $29.56 | Disposed | 128460 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-26 | Employee Stock Option (right to buy) | $4.25 | M | 15750 | Acquired | 2024-11-05 | Common Stock (15750.0) | Direct |
| 2018-02-26 | Employee Stock Option (right to buy) | $8.13 | M | 12704 | Acquired | 2026-03-09 | Common Stock (12704.0) | Direct |
| 2018-02-26 | Stock Option (right to buy) | $12.24 | M | 61546 | Acquired | 2024-03-06 | Common Stock (61546.0) | Direct |
| 2018-02-26 | Employee Stock Option (right to buy) | $25.9 | A | 42874 | Acquired | 2028-02-26 | Common Stock (42874.0) | Direct |
| 2018-02-27 | Stock Option (right to buy) | $12.24 | M | 32058 | Acquired | 2024-03-06 | Common Stock (32058.0) | Direct |
| 2018-02-27 | Employee Stock Option (right to buy) | $16.25 | M | 12376 | Acquired | 2027-02-23 | Common Stock (12376.0) | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.95 to $29.94, 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.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.28 to $29.76, 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.
F3: Option began vesting in 48 equal monthly installments on the one-month anniversary of November 5, 2014.
F4: Option began vesting in 48 equal monthly installments on the one-month anniversary of February 18, 2016.
F5: Option began vesting with respect to 25% of shares subject to the option one year after March 3, 2014, and with respect to the remaining 75% of the shares subject to the option in 36 equal monthly installments thereafter.
F6: The option vests in 48 equal monthly installments beginning on the one month anniversary of February 26, 2018.
F7: The option vests in 48 equal monthly installments beginning on the one month anniversary of February 23, 2017.