Filing Details
- Accession Number:
- 0001140361-15-027217
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-07-09 19:53:17
- Reporting Period:
- 2015-07-07
- Filing Date:
- 2015-07-09
- Accepted Time:
- 2015-07-09 19:53:17
- 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 | 2015-07-07 | 50,000 | $3.88 | 501,180 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-07-07 | 25,400 | $61.35 | 475,780 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-07-07 | 24,300 | $61.92 | 451,480 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-07-07 | 300 | $63.45 | 451,180 | 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 | 2015-07-07 | 50,000 | $0.00 | 50,000 | $3.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 74,227 | 2020-03-09 | No | 4 | M | Direct |
Footnotes
- The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 2, 2014.
- Due to an administrative error, the Form 3 filed by the Reporting Person with the U.S. Securities and Exchange Commission on April 19, 2012 misreported the total number of shares held by the Reporting Person as 541,938 shares, rather than the correct number of 541,398 shares. The number of shares reported in this box is the corrected number held by the Reporting Person following the transaction reported on this line of this Form 4.
- Represents the aggregate of sales effected on the same day at different prices.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $60.73 to $61.725 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.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $61.73 to $62.67 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.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $63.40 to $63.47 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.
- The stock option is immediately exercisable in full.
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