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
- 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.
- 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 $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.
- 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.
- 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.
- The stock option is immediately exercisable in full.
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