Zwarenstein Barry's Form 4 filing
Five9, Inc. (FIVN) · filed Oct 19, 2021
- Accession no.
- 0001288847-21-000129
- Filed
- Oct 19, 2021
- Trade date
- Oct 18, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.95M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Zwarenstein BarryCIK 0001227348 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 18, 2021 | Common Stock | MOption exerciseAcquired | +12,500 | $16.25 | +$203,125 | 87,397 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −2,000 | $153.78F3 | −$307,560 | 85,397 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −2,800 | $154.84F4 | −$433,552 | 82,597 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −3,300 | $155.77F5 | −$514,041 | 79,297 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −1,100 | $157.04F6 | −$172,744 | 78,197 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −3,200 | $157.95F7 | −$505,440 | 74,997 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −100 | $158.87 | −$15,887 | 74,897 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 18, 2021 | Common Stock | MOption exerciseDisposed | −12,500 | $0.00 | $0 | 40,278 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $153.33 to $154.33, 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.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $154.34 to $155.34, 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.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $155.41 to $156.41, 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.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.57 to $157.57, 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.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.58 to $158.57, 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.
Referenced by the price of 1 transaction in Table I.