0001140361-14-013576.txt : 20140319 0001140361-14-013576.hdr.sgml : 20140319 20140319191917 ACCESSION NUMBER: 0001140361-14-013576 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140317 FILED AS OF DATE: 20140319 DATE AS OF CHANGE: 20140319 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROOFPOINT INC CENTRAL INDEX KEY: 0001212458 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 510414846 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 408-517-4710 MAIL ADDRESS: STREET 1: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOEN PHILIP J CENTRAL INDEX KEY: 0001188110 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 14705169 MAIL ADDRESS: STREET 1: 1 SAVVIS PARKWAY CITY: TOWN & COUNTRY STATE: MO ZIP: 63017 4 1 doc1.xml FORM 4 X0306 4 2014-03-17 0 0001212458 PROOFPOINT INC PFPT 0001188110 KOEN PHILIP J C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 1 0 0 0 Common Stock 2014-03-17 4 M 0 10000 4.88 A 10094 D Common Stock 2014-03-17 4 S 0 10000 42.8437 D 94 D Non-qualified stock option (right to buy) 4.88 2014-03-17 4 M 0 10000 0 D 2020-10-28 Common Stock 10000 5000 D The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on November 14, 2013. 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 $42.39 to $43.21 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. /s/ Philip Koen by Michael Yang, Attorney-in-Fact 2014-03-19