Filing Details
- Accession Number:
- 0001209191-14-026284
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-07 21:43:00
- Reporting Period:
- 2014-04-03
- Filing Date:
- 2014-04-07
- Accepted Time:
- 2014-04-07 21:43:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1288847 | Five9 Inc. | FIVN | Services-Computer Processing & Data Preparation (7374) | 943394123 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1041116 | Vincent Worms | 50 California St., Ste 3200 San Francisco CA 94111 | No | No | Yes | No | |
| 1353225 | Partech U.s. Partners Iv, L.l.c. | 50 California St., Ste 3200 San Francisco CA 94111 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-04-03 | 19,510 | $0.00 | 3,512,801 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2014-04-03 | 1,818 | $7.00 | 3,510,983 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-04-03 | 3,207 | $0.00 | 678,428 | No | 4 | X | Indirect | By Partech International Growth Capital I L.L.C. |
| Common Stock | Disposition | 2014-04-03 | 300 | $7.00 | 678,128 | No | 4 | S | Indirect | By Partech International Growth Capital I L.L.C. |
| Common Stock | Acquisiton | 2014-04-03 | 5,284 | $0.00 | 1,117,617 | No | 4 | X | Indirect | By Partech International Growth Capital II L.L.C. |
| Common Stock | Disposition | 2014-04-03 | 493 | $7.00 | 1,117,124 | No | 4 | S | Indirect | By Partech International Growth Capital II L.L.C. |
| Common Stock | Acquisiton | 2014-04-03 | 3,207 | $0.00 | 678,430 | No | 4 | X | Indirect | By Partech International Growth Capital III L.L.C. |
| Common Stock | Disposition | 2014-04-03 | 300 | $7.00 | 678,130 | No | 4 | S | Indirect | By Partech International Growth Capital III L.L.C. |
| Common Stock | Acquisiton | 2014-04-03 | 1,305 | $0.00 | 276,225 | No | 4 | X | Indirect | By AXA Growth Capital II L.P. |
| Common Stock | Disposition | 2014-04-03 | 122 | $7.00 | 276,103 | No | 4 | S | Indirect | By AXA Growth Capital II L.P. |
| Common Stock | Acquisiton | 2014-04-03 | 135 | $0.00 | 24,594 | No | 4 | X | Indirect | By 45th Parallel L.L.C. |
| Common Stock | Disposition | 2014-04-03 | 14 | $7.00 | 24,580 | No | 4 | S | Indirect | By 45th Parallel L.L.C. |
| Common Stock | Acquisiton | 2014-04-03 | 135 | $0.00 | 24,594 | No | 4 | X | Indirect | By Par SF II, L.L.C. |
| Common Stock | Disposition | 2014-04-03 | 14 | $7.00 | 24,580 | No | 4 | S | Indirect | By Par SF II, L.L.C. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
| No | 4 | S | Direct | |
| No | 4 | X | Indirect | By Partech International Growth Capital I L.L.C. |
| No | 4 | S | Indirect | By Partech International Growth Capital I L.L.C. |
| No | 4 | X | Indirect | By Partech International Growth Capital II L.L.C. |
| No | 4 | S | Indirect | By Partech International Growth Capital II L.L.C. |
| No | 4 | X | Indirect | By Partech International Growth Capital III L.L.C. |
| No | 4 | S | Indirect | By Partech International Growth Capital III L.L.C. |
| No | 4 | X | Indirect | By AXA Growth Capital II L.P. |
| No | 4 | S | Indirect | By AXA Growth Capital II L.P. |
| No | 4 | X | Indirect | By 45th Parallel L.L.C. |
| No | 4 | S | Indirect | By 45th Parallel L.L.C. |
| No | 4 | X | Indirect | By Par SF II, L.L.C. |
| No | 4 | S | Indirect | By Par SF II, L.L.C. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 7,804 | $0.00 | 7,804 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 1,283 | $0.00 | 1,283 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 2,114 | $0.00 | 2,114 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 1,283 | $0.00 | 1,283 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 522 | $0.00 | 522 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 54 | $0.00 | 54 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 54 | $0.00 | 54 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 11,706 | $0.00 | 11,706 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 1,924 | $0.00 | 1,924 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 3,170 | $0.00 | 3,170 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 1,924 | $0.00 | 1,924 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 783 | $0.00 | 783 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 81 | $0.00 | 81 | $0.65 |
| Common Stock | Warrant (right to buy common stock) | Disposition | 2014-04-03 | 81 | $0.00 | 81 | $0.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2008-02-28 | 2014-04-09 | No | 4 | X | Direct |
| 0 | 2008-02-28 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-02-28 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-02-28 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-02-28 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-02-28 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-02-28 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-07-15 | 2014-04-09 | No | 4 | X | Direct |
| 0 | 2008-07-15 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-07-15 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-07-15 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-07-15 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-07-15 | 2014-04-09 | No | 4 | X | Indirect |
| 0 | 2008-07-15 | 2014-04-09 | No | 4 | X | Indirect |
Footnotes
- 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")
- (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").
- 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.
- 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.
- 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.
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