0001140361-16-070325.txt : 20160620 0001140361-16-070325.hdr.sgml : 20160620 20160620164817 ACCESSION NUMBER: 0001140361-16-070325 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160617 FILED AS OF DATE: 20160620 DATE AS OF CHANGE: 20160620 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: Newell Tracey CENTRAL INDEX KEY: 0001527210 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 161722586 MAIL ADDRESS: STREET 1: 4750 WILLOW ROAD CITY: PLEASANTON STATE: CA ZIP: 94588 4 1 doc1.xml FORM 4 X0306 4 2016-06-17 0 0001212458 PROOFPOINT INC PFPT 0001527210 Newell Tracey C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 0 1 0 0 EVP, Worldwide Sales Common Stock 2016-06-17 4 M 0 20000 29.44 A 36631 D Common Stock 2016-06-17 4 S 0 19700 61.1704 D 16931 D Common Stock 2016-06-17 4 S 0 300 61.8733 D 16631 D Non-qualified Stock Option (right to buy) 29.44 2016-06-17 4 M 0 20000 0 D 2023-10-11 Common Stock 20000 90000 D The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on February 4, 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 $60.75 to $61.53 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 $61.80 to $61.97 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 vested as to 1/4th of the total number of shares on August 16, 2014 and thereafter vest as to 1/48th of the total number of shares in equal monthly installments. /s/ Tracey Newell by Michael Yang, Attorney-in-Fact 2016-06-20