Form Type: 4

SEC EDGAR Link
Acccession Number:0001288847-19-000120
Date:2019-09-04
Issuer: FIVE9, INC. (FIVN)
Original Submission Date:

Reporting Person:

WELCH SCOTT
C/O FIVE9, INC. BISHOP RANCH 8, 4000
EXECUTIVE PARKWAY, SUITE 400 SAN RAMON,, CA 94583

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-09-04 M 4,235 a $8.13 66,337 direct
COMMON STOCK 2019-09-04 M 3,094 a $16.25 69,431 direct
COMMON STOCK 2019-09-04 M 3,701 a $29.89 73,132 direct
COMMON STOCK 2019-09-04 S 11,030 d $62.06 62,102 direct
COMMON STOCK 2019-09-04 S 6,318 d $62.06 55,784 direct
COMMON STOCK 2019-09-05 S 3,042 d $60.32 52,742 direct
COMMON STOCK 2019-09-05 S 3,357 d $61.27 49,385 direct
COMMON STOCK 2019-09-05 S 100 d $62.15 49,285 direct
COMMON STOCK 0 $0.00 5,825 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 8.13 2019-09-04 deemed execution date M 4,235 (d) 2026-03-09 common stock 4,235 $8.13 8,469 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 16.25 2019-09-04 deemed execution date M 3,094 (d) 2027-02-23 common stock 3,094 $16.25 18,566 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 29.89 2019-09-04 deemed execution date M 3,701 (d) 2028-02-26 common stock 3,701 $29.89 37,007 direct
Footnotes
IDfootnote
f1 the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on june 4, 2019.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $61.71 to $62.51, 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 the reported sales were to cover taxes upon the vesting of restricted stock units.
f4 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $61.69 to $62.51, 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.
f5 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $59.85 to $60.85, 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.
f6 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $60.91 to $61.59, 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.
f7 the option vests in 48 equal monthly installments beginning on the one month anniversary of february 18, 2016.
f8 the option vests in 48 equal monthly installments beginning on the one month anniversary of february 23, 2017.
f9 the option vests in 48 equal monthly installments beginning on the one month anniversary of february 26, 2018.

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