0001209191-14-026283.txt : 20140407 0001209191-14-026283.hdr.sgml : 20140407 20140407214056 ACCESSION NUMBER: 0001209191-14-026283 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140403 FILED AS OF DATE: 20140407 DATE AS OF CHANGE: 20140407 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 48th Parallel LLC CENTRAL INDEX KEY: 0001389576 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749853 BUSINESS ADDRESS: STREET 1: 1209 ORANGE STREET CITY: WILMINGTON STATE: DE ZIP: 19801 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET, SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 47th Parallel LLC CENTRAL INDEX KEY: 0001354089 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749854 BUSINESS ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 46th Parallel LLC CENTRAL INDEX KEY: 0001389578 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749855 BUSINESS ADDRESS: STREET 1: UGLAND HOUSE, SOUTH CHURCH STREET CITY: GEORGETOWN, GRAND CAYMAN STATE: E9 ZIP: 0 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET, SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 45th Parallel LLC CENTRAL INDEX KEY: 0001354087 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749857 BUSINESS ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Partech International Growth Capital III LLC CENTRAL INDEX KEY: 0001389582 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749859 BUSINESS ADDRESS: STREET 1: UGLAND HOUSE, SOUTH CHURCH STREET CITY: GRAND CAYMAN STATE: E9 ZIP: 0 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET, SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Partech International Growth Capital II LLC CENTRAL INDEX KEY: 0001603913 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749860 BUSINESS ADDRESS: STREET 1: 50 CALIFORNIA ST., SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-788-2929 X105 MAIL ADDRESS: STREET 1: 50 CALIFORNIA ST., SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Partech U.S. Partners IV, L.L.C. CENTRAL INDEX KEY: 0001353225 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749862 BUSINESS ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Five9, Inc. CENTRAL INDEX KEY: 0001288847 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 943394123 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 4000 EXECUTIVE PKWY. STREET 2: SUITE 400 CITY: SAN RAMON STATE: CA ZIP: 94583 BUSINESS PHONE: 9252012000 MAIL ADDRESS: STREET 1: 4000 EXECUTIVE PKWY. STREET 2: SUITE 400 CITY: SAN RAMON STATE: CA ZIP: 94583 FORMER COMPANY: FORMER CONFORMED NAME: Five 9 Inc DATE OF NAME CHANGE: 20040428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PAR SF II, L.L.C. CENTRAL INDEX KEY: 0001527615 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749856 BUSINESS ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET, SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET, SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Partech International Growth Capital I LLC CENTRAL INDEX KEY: 0001389583 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749861 BUSINESS ADDRESS: STREET 1: UGLAND HOUSE, SOUTH CHURCH STREET CITY: GRAND CAYMAN STATE: E9 ZIP: 0 BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET, SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA Growth Capital II LP CENTRAL INDEX KEY: 0001389580 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36383 FILM NUMBER: 14749858 BUSINESS ADDRESS: STREET 1: CLARENDON HOUSE, 2 CHURCH STREET STREET 2: P.O. BOX HM 666 CITY: HAMILTON STATE: D0 ZIP: HM CX BUSINESS PHONE: 415-788-2929 MAIL ADDRESS: STREET 1: C/O 50 CALIFORNIA STREET, SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-04-03 0 0001288847 Five9, Inc. FIVN 0001353225 Partech U.S. Partners IV, L.L.C. 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001389583 Partech International Growth Capital I LLC 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001603913 Partech International Growth Capital II LLC 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001389582 Partech International Growth Capital III LLC 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001389580 AXA Growth Capital II LP 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001354087 45th Parallel LLC 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001527615 PAR SF II, L.L.C. 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001389578 46th Parallel LLC 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001354089 47th Parallel LLC 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 0001389576 48th Parallel LLC 50 CALIFORNIA ST., STE 3200 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2014-04-03 4 X 0 19510 0.00 A 3512801 D Common Stock 2014-04-03 4 S 0 1818 7.00 D 3510983 D Common Stock 2014-04-03 4 X 0 3207 0.00 A 678428 I By Partech International Growth Capital I L.L.C. Common Stock 2014-04-03 4 S 0 300 7.00 D 678128 I By Partech International Growth Capital I L.L.C. Common Stock 2014-04-03 4 X 0 5284 0.00 A 1117617 I By Partech International Growth Capital II L.L.C. Common Stock 2014-04-03 4 S 0 493 7.00 D 1117124 I By Partech International Growth Capital II L.L.C. Common Stock 2014-04-03 4 X 0 3207 0.00 A 678430 I By Partech International Growth Capital III L.L.C. Common Stock 2014-04-03 4 S 0 300 7.00 D 678130 I By Partech International Growth Capital III L.L.C. Common Stock 2014-04-03 4 X 0 1305 0.00 A 276225 I By AXA Growth Capital II L.P. Common Stock 2014-04-03 4 S 0 122 7.00 D 276103 I By AXA Growth Capital II L.P. Common Stock 2014-04-03 4 X 0 135 0.00 A 24594 I By 45th Parallel L.L.C. Common Stock 2014-04-03 4 S 0 14 7.00 D 24580 I By 45th Parallel L.L.C. Common Stock 2014-04-03 4 X 0 135 0.00 A 24594 I By Par SF II, L.L.C. Common Stock 2014-04-03 4 S 0 14 7.00 D 24580 I By Par SF II, L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 7804 0.00 D 2008-02-28 2014-04-09 Common Stock 7804 0 D Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 1283 0.00 D 2008-02-28 2014-04-09 Common Stock 1283 0 I By Partech International Growth Capital I L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 2114 0.00 D 2008-02-28 2014-04-09 Common Stock 2114 0 I By Partech International Growth Capital II L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 1283 0.00 D 2008-02-28 2014-04-09 Common Stock 1283 0 I By Partech International Growth Capital III L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 522 0.00 D 2008-02-28 2014-04-09 Common Stock 522 0 I By AXA Growth Capital II L.P. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 54 0.00 D 2008-02-28 2014-04-09 Common Stock 54 0 I By 45th Parallel L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 54 0.00 D 2008-02-28 2014-04-09 Common Stock 54 0 I By Par SF II, L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 11706 0.00 D 2008-07-15 2014-04-09 Common Stock 11706 0 D Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 1924 0.00 D 2008-07-15 2014-04-09 Common Stock 1924 0 I By Partech International Growth Capital I L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 3170 0.00 D 2008-07-15 2014-04-09 Common Stock 3170 0 I By Partech International Growth Capital II L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 1924 0.00 D 2008-07-15 2014-04-09 Common Stock 1924 0 I By Partech International Growth Capital III L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 783 0.00 D 2008-07-15 2014-04-09 Common Stock 783 0 I By AXA Growth Capital II L.P. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 81 0.00 D 2008-07-15 2014-04-09 Common Stock 81 0 I By 45th Parallel L.L.C. Warrant (right to buy common stock) 0.652 2014-04-03 4 X 0 81 0.00 D 2008-07-15 2014-04-09 Common Stock 81 0 I By Par SF II, L.L.C. 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. Form 1 of 2. /s/ Vincent R. Worms, managing member of 47th Parallel, L.L.C., the managing member of the Reporting Person 2014-04-07 /s/ Vincent R. Worms, managing member of 45th Parallel, L.L.C., the managing member of 46th Parallel, L.L.C., the managing member of the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, managing member of 45th Parallel, L.L.C., the managing member of 46th Parallel, L.L.C., the managing member of the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, managing member of 45th Parallel, L.L.C., the managing member of 46th Parallel, L.L.C., the managing member of the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, managing member of 48th Parallel, L.L.C., the Investment General Partner of the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, managing member of the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, sole member of the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, managing member of 45th Parallel, L.L.C., the managing memebr of the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, managing member of 47th Parallel, L.L.C., the Reporting Owner 2014-04-07 /s/ Vincent R. Worms, managing member of the Reporting Owner 2014-04-07