Filing Details

Accession Number:
0001209191-14-026283
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-07 21:40:56
Reporting Period:
2014-04-03
Filing Date:
2014-04-07
Accepted Time:
2014-04-07 21:40:56
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
1353225 Partech U.s. Partners Iv, L.l.c. 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1354087 45Th Parallel Llc 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1354089 47Th Parallel Llc 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1389576 48Th Parallel Llc 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1389578 46Th Parallel Llc 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1389580 Axa Growth Capital Ii Lp 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1389582 Partech International Growth Capital Iii Llc 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1389583 Partech International Growth Capital I Llc 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1527615 Par Sf Ii, L.l.c. 50 California St., Ste 3200
San Francisco CA 94111
No No Yes No
1603913 Partech International Growth Capital Ii Llc 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
  1. 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")
  2. (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").
  3. 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.
  4. 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.
  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.