0001140361-12-021416.txt : 20120425
0001140361-12-021416.hdr.sgml : 20120425
20120425163534
ACCESSION NUMBER: 0001140361-12-021416
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120425
FILED AS OF DATE: 20120425
DATE AS OF CHANGE: 20120425
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BENCHMARK FOUNDERS FUND IV LP
CENTRAL INDEX KEY: 0001105215
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780009
BUSINESS ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BENCHMARK FOUNDERS FUND IV A LP
CENTRAL INDEX KEY: 0001105486
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780008
BUSINESS ADDRESS:
STREET 1: 2480 SAND HILL RD STE 200
CITY: MENIO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KAGLE ROBERT
CENTRAL INDEX KEY: 0001183234
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BENCHMARK FOUNDERS FUND IV-B LP
CENTRAL INDEX KEY: 0001274290
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780007
BUSINESS ADDRESS:
STREET 1: 2480 SAND HILL ROAD,
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 6508548180
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: BENCHMARK CAPITAL PARTNERS IV LP
CENTRAL INDEX KEY: 0001167038
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780010
BUSINESS ADDRESS:
STREET 1: 2480 SAND HILL ROAD, SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-854-8180
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD, SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BENCHMARK CAPITAL MANAGEMENT CO IV LLC
CENTRAL INDEX KEY: 0001167040
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780011
BUSINESS ADDRESS:
STREET 1: 2480 SAND HILL ROAD, SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-854-8180
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD, SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GURLEY J WILLIAM
CENTRAL INDEX KEY: 0001190191
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780012
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BALKANSKI ALEXANDRE
CENTRAL INDEX KEY: 0001190192
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780006
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SPURLOCK STEVEN M
CENTRAL INDEX KEY: 0001190193
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780003
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DUNLEVIE BRUCE
CENTRAL INDEX KEY: 0001190211
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780005
MAIL ADDRESS:
STREET 1: 2480 SAND HILL ROAD
STREET 2: SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
4
1
doc1.xml
FORM 4
X0305
4
2012-04-25
0
0001212458
PROOFPOINT INC
PFPT
0001167040
BENCHMARK CAPITAL MANAGEMENT CO IV LLC
2480 SAND HILL RD
STE 200
MENLO PARK
CA
94025
0
0
1
0
0001167038
BENCHMARK CAPITAL PARTNERS IV LP
2480 SAND HILL RD
STE 200
MENLO PARK
CA
94025
0
0
1
0
0001105215
BENCHMARK FOUNDERS FUND IV LP
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
0001105486
BENCHMARK FOUNDERS FUND IV A LP
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
0001274290
BENCHMARK FOUNDERS FUND IV-B LP
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
0001190192
BALKANSKI ALEXANDRE
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
0001190211
DUNLEVIE BRUCE
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
0001190191
GURLEY J WILLIAM
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
0001183234
KAGLE ROBERT
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
0001190193
SPURLOCK STEVEN M
2480 SAND HILL ROAD
SUITE 200
MENLO PARK
CA
94025
0
0
1
0
Common Stock
2012-04-25
4
C
0
4260650
A
4260650
I
See footnote 3
Series A Preferered Stock
2012-04-25
4
C
0
3400000
0
D
Common Stock
1700000
0
I
See footnote 3
Series B Preferred Stock
2012-04-25
4
C
0
1794764
0
D
Common Stock
897382
0
I
See footnote 3
Series C Preferred Stock
2012-04-25
4
C
0
1308234
0
D
Common Stock
654117
0
I
See footnote 3
Series E Preferred Stock
2012-04-25
4
C
0
1040480
0
D
Common Stock
522648.7112
0
I
See footnote 3
Series F Preferred Stock
2012-04-25
4
C
0
973006
0
D
Common Stock
486503
0
I
See footnote 3
In connection with the closing of the Issuer's initial public offering on April 25, 2012, each share of Series A, Series B, Series C and Series F Preferred Stock automatically converted into 0.5 shares of Issuer's Common Stock, and each share of Series E Preferred Stock automatically converted into 0.502315 shares of Issuer's Common Stock, for no additional consideration, reflecting an adjustment following a 1-for-2 reverse stock split effected by the Issuer on April 2, 2012. All shares of Common Stock (including fractions thereof) issued upon conversion were aggregated. No fractional share was issued upon the conversion of any share or shares of Preferred Stock.
Shares held of record by Benchmark Capital Partners IV, L.P. ("BCP IV"), as nominee for BCP IV, Benchmark Founders' Fund IV, L.P. ("BFF IV"), Benchmark Founders' Fund IV-A, L.P. ("BFF IV-A"), Benchmark Founders' Fund IV-B, L.P. ("BFF IV-B") and related persons. Benchmark Capital Management Co. IV, L.L.C. ("BCMC IV"), the general partner of each of BCP IV, BFF IV, BFF IV-A and BFF IV-B, may be deemed to have sole voting and investment power over the reported shares of the Issuer's stock held by such funds.
None.
Alexandre Balkanski, Bruce Dunlevie, J. William Gurley, Kevin R. Harvey, Robert Kagle and Steven M. Spurlock are the managing members of Benchmark Capital Management Co. IV, L.L.C., which serves as general partner to Benchmark Capital Partners IV, L.P., Benchmark Founders' Fund IV, Benchmark Founders' Fund IV-A, L.P. and Benchmark Founders' Fund IV-B, L.P., and may be deemed to share voting and investment power over the shares beneficially held by such entities. Each such person disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's pecuniary interest in such securities) other than any securities being reported herein as being directly owned by such person. *This report is one of two reports, each on a separate Form 4, but relating to the same transaction being filed by entities affiliated with Benchmark Capital and their applicable members.*
/s/ Steven M. Spurlock, as Managing Member of Benchmark Capital Management Co. IV, L.L.C.
2012-04-25
/s/ Steven M. Spurlock, as Managing Member of Benchmark Capital Management Co. IV, L.L.C., the General Partner of Benchmark Capital Partners IV, L.P.
2012-04-25
/s/ Steven M. Spurlock, as Managing Member of Benchmark Capital Management Co. IV, L.L.C., the General Partner of Benchmark Founders' Fund IV, L.P.
2012-04-25
/s/ Steven M. Spurlock, as Managing Member of Benchmark Capital Management Co. IV, L.L.C., the General Partner of Benchmark Founders' Fund IV-A, L.P.
2012-04-25
/s/ Steven M. Spurlock, as Managing Member of Benchmark Capital Management Co. IV, L.L.C., the General Partner of Benchmark Founders' Fund IV-B, L.P.
2012-04-25
/s/ Steven M. Spurlock, by power of attorney for Alexandre Balkanski
2012-04-25
/s/ Steven M. Spurlock, by power of attorney for Bruce Dunlevie
2012-04-25
/s/ Steven M. Spurlock, by power of attorney for J. William Gurley
2012-04-25
/s/ Steven M. Spurlock, by power of attorney for Robert Kagle
2012-04-25
/s/ Steven M. Spurlock
2012-04-25