Filing Details
- Accession Number:
- 0001140361-18-009495
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-21 21:08:13
- Reporting Period:
- 2017-05-08
- Accepted Time:
- 2018-02-21 21:08:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1634774 | Darren Robert Lee | C/O Proofpoint, Inc. 892 Ross Drive Sunnyvale CA 94089 | Svp, Gm Archiving & Governance | 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 | Disposition | 2017-05-08 | 5,711 | $81.45 | 3,837 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-02-16 | 4,841 | $36.00 | 8,678 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-02-16 | 1,750 | $57.49 | 10,428 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-02-16 | 2,000 | $50.93 | 12,428 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-16 | 12,428 | $105.21 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2018-02-16 | 4,841 | $0.00 | 4,841 | $36.00 |
| Common Stock | Non-qualified Stock Option (right to buy) | Disposition | 2018-02-16 | 1,750 | $0.00 | 1,750 | $57.49 |
| Common Stock | Non-qualified Stock Option (right to buy) | Disposition | 2018-02-16 | 2,000 | $0.00 | 2,000 | $50.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-03-26 | No | 4 | M | Direct | |
| 1,500 | 2025-04-06 | No | 4 | M | Direct | |
| 4,000 | 2026-04-08 | No | 4 | M | Direct |
Footnotes
- The Form 3 filed by the Reporting Person with the U.S. Securities and Exchange Commission on February 25, 2015 inadvertently excluded 842 shares of the Issuer's common stock directly held by the Reporting Person. 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.
- The stock option is 100% vested and exercisable.
- The stock option vested and became exercisable as to 1/4th of the total number of shares on February 1, 2016 and thereafter shall vest and become exercisable as to 1/48th of the total number of shares in equal monthly installments.
- The stock option vested and became exercisable as to 1/4th of the total number of shares on February 1, 2017 and thereafter shall vest and become exercisable as to 1/48th of the total number of shares in equal monthly installments.
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