Filing Details

Accession Number:
0001140361-14-002573
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-17 18:14:56
Reporting Period:
2014-01-16
Filing Date:
2014-01-17
Accepted Time:
2014-01-17 18:14:56
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1212458 Proofpoint Inc PFPT Services-Computer Processing & Data Preparation (7374) 510414846
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1188110 J Philip Koen C/O Proofpoint, Inc.
892 Ross Drive
Sunnyvale CA 94089
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-01-16 10,000 $4.88 10,000 No 4 M Direct
Common Stock Disposition 2014-01-16 10,000 $37.68 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-qualified stock option (right to buy) Disposition 2014-01-16 10,000 $0.00 10,000 $4.88
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
25,000 2020-10-28 No 4 M Direct
Footnotes
  1. The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on November 14, 2013.
  2. Represents the aggregate of sales effected on the same day at different prices.
  3. Represents the weighted average sales price per share. The shares sold at prices ranging from $37.43 to $37.96 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
  4. The stock option is immediately exercisable in full.