Filing Details
- Accession Number:
- 0001140361-18-031928
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-09 16:11:20
- Reporting Period:
- 2018-07-01
- Accepted Time:
- 2018-07-09 16:11:20
- 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 |
|---|---|---|---|---|---|---|---|
| 1678830 | Bhagwat Swaroop | C/O Proofpoint, Inc. 892 Ross Drive Sunnyvale CA 94089 | Evp & Gm, Protection | 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 | 2018-07-01 | 11,875 | $0.00 | 13,784 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-07-01 | 5,245 | $115.31 | 8,539 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2018-07-06 | 4,000 | $116.28 | 4,539 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2018-07-01 | 11,875 | $0.00 | 11,875 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 23,750 | No | 4 | M | Direct |
Footnotes
- Vesting of restricted stock units ("RSUs") granted to the Reporting Person on August 18, 2016.
- Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this line were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs or PRSUs.
- The transactions reported on this line were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 6, 2018.
- Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- The RSUs vest as to 1/4th of the total number of shares in equal annual installments beginning on July 1, 2017. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
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