Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Avaya Holdings Corp.AVYA · Entity 117306 | Senior Vice President, Cloud | November 15, 2019 | November 18, 2019 |
| Five9, Inc.FIVN · Entity 4346 | EVP, Product Management | August 06, 2018 | August 06, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Avaya Holdings Corp.
Report date November 15, 2019 · Filed November 18, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 111,705 |
Reported balance
After 2019-11-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-11-15 · Tax withholding · Disposed 14,557 · Balance 111,705 F1: These securities consist of (i) 27,538 shares of common stock, par value $0.01 per share, of Avaya Holdings Corp. ("Common Stock") and (ii) 84,167 Restricted Stock Units (each, an "RSU") previously granted pursuant to the Avaya Holdings Corp. 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive, at vesting, one share of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities consist of (i) 27,538 shares of common stock, par value $0.01 per share, of Avaya Holdings Corp. ("Common Stock") and (ii) 84,167 Restricted Stock Units (each, an "RSU") previously granted pursuant to the Avaya Holdings Corp. 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive, at vesting, one share of Common Stock.
Five9, Inc.
Report date August 06, 2018 · Filed August 06, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 83,588 |
Ending reported balance
After 2018-08-06 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-08-06 · Exercise / conversion · Acquired 979 · Balance 84,567 Row 2 · 2018-08-06 · Sale · Disposed 979 · Balance 83,588 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 2, 2018. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.94 to $34.63, 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. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.25 · Expires 2024-11-05 | Direct | 2,938 |
Reported balance
After 2018-08-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-08-06 · Exercise / conversion · Disposed 979 · Balance 2,938 F3: The option vests in 48 equal monthly installments beginning on the one month anniversary of November 5, 2014. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 2, 2018.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.94 to $34.63, 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 option vests in 48 equal monthly installments beginning on the one month anniversary of November 5, 2014.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 23, 2017 Filed May 25, 2017 18:33 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionCommon Stock | 18,562 | $8.13 | $150,909.06 |
DisclosureSEC source: 0001288847-17-000092 · wf-form4_149575160951088.xml · nonDerivative · entry 2 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,542 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 23, 2017 Filed May 25, 2017 18:33 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionCommon Stock | 4,896 | $4.25 | $20,808.00 |
DisclosureSEC source: 0001288847-17-000092 · wf-form4_149575160951088.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,980 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 20:57 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 3,415 | $16.36 | $55,869.40 |
DisclosureSEC source: 0001288847-17-000055 · wf-form4_148945303928024.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,084 F1 · shares: The reported sales were to cover taxes upon the vesting of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.33 to $16.37, 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. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:22 UTC | Five9, Inc. FIVN · Entity 4346 | GrantEmployee Stock Option (right to buy) · Derivative | 68,549 | $0.00 Strike: $16.25 | $0.00 |
DisclosureSEC source: 0001288847-17-000032 · wf-form4_148824851610187.xml · derivative · entry 2 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,549 Underlying: Common Stock · 68,549 shares Expires 2027-02-23 F1 · derivative.exercise_date: The option vests in 48 equal monthly installments beginning on the one month anniversary of February 23, 2017. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:22 UTC | Five9, Inc. FIVN · Entity 4346 | GrantCommon Stock | 33,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001288847-17-000032 · wf-form4_148824851610187.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,499 Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 17:05 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 26,644 | $16.45 | $438,293.80 |
DisclosureSEC source: 0001288847-17-000022 · wf-form4_148797388677880.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,269 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.35 to $16.61, 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. Read SEC document |
| January 09, 2017 Filed Jan 10, 2017 20:08 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $4.25 | $0.00 |
DisclosureSEC source: 0001288847-17-000004 · wf-form4_148409690678356.xml · derivative · entry 3 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,459 Underlying: Common Stock · 5,000 shares Expires 2024-11-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Original option grant was for 47,000 shares. Option began vesting with respect to 1/48 of the shares subject to the option one month after November 5, 2014, and with respect to the remaining shares subject to the option, vests in 47 equal monthly installments thereafter. Read SEC document |
| January 09, 2017 Filed Jan 10, 2017 20:08 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 5,000 | $15.00 | $75,000.00 |
DisclosureSEC source: 0001288847-17-000004 · wf-form4_148409690678356.xml · nonDerivative · entry 2 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,913 Read SEC document |
| January 09, 2017 Filed Jan 10, 2017 20:08 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionCommon Stock | 5,000 | $4.25 | $21,250.00 |
DisclosureSEC source: 0001288847-17-000004 · wf-form4_148409690678356.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,913 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 19:18 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,818 | $4.25 Strike: $4.25 | $16,226.50 |
DisclosureSEC source: 0001288847-16-000167 · wf-form4_148227950266398.xml · derivative · entry 3 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,459 Underlying: Common Stock · 3,818 shares Expires 2024-11-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Original option grant was for 47,000 shares. Option began vesting with respect to 1/48 of the shares subject to the option one month after November 5, 2014, and with respect to the remaining shares subject to the option, vests in 47 equal monthly installments thereafter. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 19:18 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 11,738 | $14.00 | $164,332.00 |
DisclosureSEC source: 0001288847-16-000167 · wf-form4_148227950266398.xml · nonDerivative · entry 2 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,913 Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 19:18 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionCommon Stock | 3,818 | $4.25 | $16,226.50 |
DisclosureSEC source: 0001288847-16-000167 · wf-form4_148227950266398.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,651 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 20:52 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 12,723 | $0.00 Strike: $4.25 | $0.00 |
DisclosureSEC source: 0001288847-16-000164 · wf-form4_148219874769831.xml · derivative · entry 3 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,277 Underlying: Common Stock · 12,723 shares Expires 2024-11-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Original option grant was for 47,000 shares. Option began vesting with respect to 1/48 of the shares subject to the option one month after November 5, 2014, and with respect to the remaining shares subject to the option, vests in 47 equal monthly installments thereafter. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 20:52 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 15,723 | $13.65 | $214,618.95 |
DisclosureSEC source: 0001288847-16-000164 · wf-form4_148219874769831.xml · nonDerivative · entry 2 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,833 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.33 to $14.00, 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. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 20:52 UTC | Five9, Inc. FIVN · Entity 4346 | Exercise / conversionCommon Stock | 12,723 | $4.25 | $54,072.75 |
DisclosureSEC source: 0001288847-16-000164 · wf-form4_148219874769831.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,556 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 20:29 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 115 | $14.36 | $1,651.40 |
DisclosureSEC source: 0001288847-16-000160 · wf-form4_148107417763142.xml · nonDerivative · entry 4 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,833 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 20:29 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 579 | $14.32 | $8,291.28 |
DisclosureSEC source: 0001288847-16-000160 · wf-form4_148107417763142.xml · nonDerivative · entry 3 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,948 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.31 to $14.32, 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. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 20:29 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 1,853 | $14.31 | $26,516.43 |
DisclosureSEC source: 0001288847-16-000160 · wf-form4_148107417763142.xml · nonDerivative · entry 2 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,527 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.30 to $14.36, 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. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 20:29 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 838 | $14.34 | $12,016.92 |
DisclosureSEC source: 0001288847-16-000160 · wf-form4_148107417763142.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,380 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.34 to $14.35, 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. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 16:43 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 7,561 | $15.81 | $119,539.41 |
DisclosureSEC source: 0001288847-16-000124 · wf-form4_147328100783526.xml · nonDerivative · entry 4 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,218 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.78 to $15.83, 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. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 16:43 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 845 | $15.77 | $13,325.65 |
DisclosureSEC source: 0001288847-16-000124 · wf-form4_147328100783526.xml · nonDerivative · entry 3 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,779 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 16:43 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 593 | $15.78 | $9,357.54 |
DisclosureSEC source: 0001288847-16-000124 · wf-form4_147328100783526.xml · nonDerivative · entry 2 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,624 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 16:43 UTC | Five9, Inc. FIVN · Entity 4346 | SaleCommon Stock | 116 | $15.80 | $1,832.80 |
DisclosureSEC source: 0001288847-16-000124 · wf-form4_147328100783526.xml · nonDerivative · entry 1 Passi Gaurav · CIK 0001628106 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,217 F1 · kind: The reported sales were to cover taxes upon the vesting of restricted stock units. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.