Home > Insider Trading > Filing (0001140361-18-035447)

Filing Details

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
Common Stock	Acquisiton	2018-08-01	3,479	$5.48	79,528	No	4	M	Direct
Common Stock	Acquisiton	2018-08-01	19,969	$7.98	99,497	No	4	M	Direct
Common Stock	Disposition	2018-08-01	18,999	$112.59	80,498	No	4	S	Direct
Common Stock	Disposition	2018-08-01	21,001	$114.71	59,497	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	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	Employee Stock Option (right to buy)	Disposition	2018-08-01	3,479	$0.00	3,479	$5.48
Common Stock	Employee Stock Option (right to buy)	Disposition	2018-08-01	19,969	$0.00	19,969	$7.98

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2021-04-29	No	4	M	Direct
5,000		2022-01-23	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	446,398	Indirect	By family trust

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Restricted Stock Units	$0.00			50,000	50,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	50,000	50,000	Direct

Footnotes

The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018.
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 $112.26 to $113.08 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 $114.14 to $115.00 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.
Each restricted stock unit ("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 June 1, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
These RSUs were previously reported as common stock and are now being reported in Table II as derivative securities.