Filing Details

Accession Number:
0001140361-17-021043
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-16 18:21:10
Reporting Period:
2017-05-15
Filing Date:
2017-05-16
Accepted Time:
2017-05-16 18:21:10
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
1410972 Iii R. Paul Auvil C/O Proofpoint, Inc.
892 Ross Drive
Sunnyvale CA 94089
Chief Financial Officer No Yes 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 2017-05-15 25,000 $3.88 120,478 No 4 M Direct
Common Stock Disposition 2017-05-15 9,692 $85.53 110,786 No 4 S Direct
Common Stock Disposition 2017-05-15 14,408 $86.39 96,378 No 4 S Direct
Common Stock Disposition 2017-05-15 900 $87.07 95,478 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S 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 2017-05-15 25,000 $0.00 25,000 $3.88
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,227 2020-03-09 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 446,398 Indirect By family trust
Footnotes
  1. The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016.
  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 $85.00 to $85.98 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. Represents the weighted average sales price per share. The shares sold at prices ranging from $86.00 to $86.99 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.
  5. Represents the weighted average sales price per share. The shares sold at prices ranging from $87.025 to $87.095 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.
  6. The stock option is immediately exercisable in full.