Zwarenstein Barry's Form 4/A amendment
AmendedFive9, Inc. (FIVN) · filed Mar 24, 2022
- Accession no.
- 0001288847-22-000032
- Filed
- Mar 24, 2022
- Trade date
- Mar 4, 2022
- Filing delay
- 20 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Mar 8, 2022
This filing lists 7 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.01M. It was filed 20 days after the trade.
This amendment replaces 0001288847-22-000027 (filed Mar 8, 2022).
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 4, 2022 | Common Stock | MOption exerciseAcquired | +6,610 | $16.25 | +$107,412.5 | 102,643 | Direct | |
| Mar 4, 2022 | Common Stock | SSaleDisposed | −5,010 | $102.21F3 | −$512,072.1 | 97,633 | Direct | |
| Mar 4, 2022 | Common Stock | SSaleDisposed | −1,600 | $102.82F4 | −$164,512 | 96,033 | Direct | |
| Mar 4, 2022 | Common Stock | SSaleDisposed | −1,681 | $97.47F6 | −$163,847.07 | 93,748 | Indirect | |
| Mar 4, 2022 | Common Stock | SSaleDisposed | −1,009 | $98.29F7 | −$99,174.61 | 92,739 | Indirect | |
| Mar 4, 2022 | Common Stock | SSaleDisposed | −500 | $99.51F8 | −$49,755 | 92,239 | Indirect | |
| Mar 4, 2022 | Common Stock | SSaleDisposed | −200 | $101.76F9 | −$20,352 | 92,039 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 4, 2022 | Common Stock | MOption exerciseDisposed | −6,610 | $0.00 | $0 | 21,168 | 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.
- F1
This is being amended to indicate that 6,610 of the shares that were sold were in fact, acquired through an option exercise on the same day.
- F2
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 1, 2021.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.79 to $102.77, 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 $102.80 to $102.91, 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 reported sales were to cover taxes upon the vesting of restricted stock units.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.99 to $97.98, 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 $98.00 to $98.66, 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.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.37 to $99.76, 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.
Referenced by the price of 1 transaction in Table I.
- F9
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.51 to $101.79, 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.
- F10
The option granted on February 23, 2017 is fully vested.