Filing Details
- Accession Number:
- 0001140361-13-001240
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-04 21:39:13
- Reporting Period:
- 2013-01-02
- Filing Date:
- 2013-01-04
- Accepted Time:
- 2013-01-04 21:39:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1204818 | L Dana Evan | 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 | 2013-01-02 | 6,484 | $4.56 | 6,484 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-02 | 6,484 | $13.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-01-03 | 3,000 | $4.56 | 3,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-03 | 3,000 | $13.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-01-04 | 3,413 | $4.56 | 3,413 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-01-04 | 3,413 | $13.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | 2013-01-02 | 6,484 | $0.00 | 6,484 | $4.56 |
| Common Stock | Non-qualified stock option (right to buy) | Disposition | 2013-01-03 | 3,000 | $0.00 | 3,000 | $4.56 |
| Common Stock | Non-qualified stock option (right to buy) | Disposition | 2013-01-04 | 3,413 | $0.00 | 3,413 | $4.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 87,233 | 2018-06-11 | No | 4 | M | Direct | |
| 84,233 | 2018-06-11 | No | 4 | M | Direct | |
| 80,820 | 2018-06-11 | No | 4 | M | Direct |
Footnotes
- The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on September 10, 2012.
- The stock option is immediately exercisable in full.
Billionaire Hedge Funds
