0001140361-12-021420.txt : 20120425
0001140361-12-021420.hdr.sgml : 20120425
20120425163734
ACCESSION NUMBER: 0001140361-12-021420
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120425
FILED AS OF DATE: 20120425
DATE AS OF CHANGE: 20120425
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: MERITECH CAPITAL PARTNERS II LP
CENTRAL INDEX KEY: 0001119133
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780042
BUSINESS ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6504752200
MAIL ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCP ENTREPRENEUR PARTNERS II LP
CENTRAL INDEX KEY: 0001130610
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780041
BUSINESS ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6504752200
MAIL ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MADERA PAUL S
CENTRAL INDEX KEY: 0001255151
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780040
MAIL ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GORDON MICHAEL B
CENTRAL INDEX KEY: 0001255152
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780044
MAIL ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MERITECH CAPITAL AFFILIATES II LP
CENTRAL INDEX KEY: 0001255154
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780043
BUSINESS ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6504752200
MAIL ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Meritech Capital Associates II L.L.C.
CENTRAL INDEX KEY: 0001299073
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780045
BUSINESS ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 650-475-2200
MAIL ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Meritech Management Associates II L.L.C.
CENTRAL INDEX KEY: 0001299074
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 12780046
BUSINESS ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 650-475-2200
MAIL ADDRESS:
STREET 1: 245 LYTTON AVENUE
STREET 2: SUITE 350
CITY: PALO ALTO
STATE: CA
ZIP: 94301
4
1
doc1.xml
FORM 4
X0305
4
2012-04-25
0
0001212458
PROOFPOINT INC
PFPT
0001299074
Meritech Management Associates II L.L.C.
245 LYTTON AVENUE
SUITE 350
PALO ALTO
CA
94301
0
0
1
0
0001299073
Meritech Capital Associates II L.L.C.
245 LYTTON AVENUE
SUITE 350
PALO ALTO
CA
94301
0
0
1
0
0001255154
MERITECH CAPITAL AFFILIATES II LP
245 LYTTON AVENUE
SUITE 350
PALO ALTO
CA
94301
0
0
1
0
0001119133
MERITECH CAPITAL PARTNERS II LP
245 LYTTON AVENUE
SUITE 350
PALO ALTO
CA
94301
0
0
1
0
0001130610
MCP ENTREPRENEUR PARTNERS II LP
245 LYTTON AVENUE
SUITE 350
PALO ALTO
CA
94301
0
0
1
0
0001255151
MADERA PAUL S
245 LYTTON AVENUE
STE 350
PALO ALTO
CA
94301
0
0
1
0
0001255152
GORDON MICHAEL B
245 LYTTON AVENUE
STE 350
PALO ALTO
CA
94301
0
0
1
0
Common Stock
2012-04-25
4
C
0
3020732
A
3020732
I
See footnote 3
Common Stock
2012-04-25
4
C
0
77726
A
77726
I
See footnote 4
Common Stock
2012-04-25
4
C
0
23099
A
23099
I
See footnote 5
Series C Preferred Stock
2012-04-25
4
C
0
4421291
0
D
Common Stock
2210645.5
0
I
See footnote 3
Series E Preferred Stock
2012-04-25
4
C
0
707406
0
D
Common Stock
355340.6449
0
I
See footnote 3
Series F Preferred Stock
2012-04-25
4
C
0
909493
0
D
Common Stock
454746.5
0
I
See footnote 3
Series C Preferred Stock
2012-04-25
4
C
0
113765
0
D
Common Stock
56882.5
0
I
See footnote 4
Series E Preferred Stock
2012-04-25
4
C
0
18202
0
D
Common Stock
9143.1376
0
I
See footnote 4
Series F Preferred Stock
2012-04-25
4
C
0
23402
0
D
Common Stock
11701
0
I
See footnote 4
Series C Preferred Stock
2012-04-25
4
C
0
33809
0
D
Common Stock
16904.5
0
I
See footnote 5
Series E Preferred Stock
2012-04-25
4
C
0
5410
0
D
Common Stock
2717.5241
0
I
See footnote 5
Series F Preferred Stock
2012-04-25
4
C
0
6955
0
D
Common Stock
3477.5
0
I
See footnote 5
In connection with the closing of the Issuer's initial public offering on April 25, 2012, each share of 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 directly by Meritech Capital Partners II L.P. ("MCP II"). Meritech Management Associates II L.L.C., a managing member of Meritech Capital Associates II L.L.C., the general partner of MCP II, and Paul S. Madera and Michael B. Gordon, the managing members of Meritech Management Associates II L.L.C., may be deemed to share voting and dispositive power over the shares held by MCP II. Such persons and entities disclaim beneficial ownership of shares held by MCP II except to the extent of any pecuniary interest therein.
Shares held directly by Meritech Capital Affiliates II L.P. "(MCA II"). Meritech Management Associates II L.L.C., a managing member of Meritech Capital Associates II L.L.C., the general partner of MCA II, and Paul S. Madera and Michael B. Gordon, the managing members of Meritech Management Associates II L.L.C., may be deemed to share voting and dispositive power over the shares held by MCA II. Such persons and entities disclaim beneficial ownership of shares held by MCA II except to the extent of any pecuniary interest therein.
Shares held directly by MCP Entrepreneur Partners II L.P. ("Entrepreneur"). Meritech Management Associates II L.L.C., a managing member of Meritech Capital Associates II L.L.C., the general partner of Entrepreneur, and Paul S. Madera and Michael B. Gordon, the managing members of Meritech Management Associates II L.L.C., may be deemed to share voting and dispositive power over the shares held by Entrepreneur. Such persons and entities disclaim beneficial ownership of shares held by Entrepreneur except to the extent of any pecuniary interest therein.
None.
/s/ Paul S. Madera, as a managing member of Meritech Management Associates II L.L.C.
2012-04-25
/s/ Paul S. Madera, as a managing member of Meritech Management Associates II L.L.C., a managing member of Meritech Capital Associates II L.L.C.
2012-04-25
/s/ Paul S. Madera, as a managing member of Meritech Management Associates II L.L.C., a managing member of Meritech Capital Associates II L.L.C., the general partner of Meritech Capital Partners II L.P.
2012-04-25
/s/ Paul S. Madera, as a managing member of Meritech Management Associates II L.L.C., a managing member of Meritech Capital Associates II L.L.C., the general partner of Meritech Capital Affiliates II L.P.
2012-04-25
/s/ Paul S. Madera, as a managing member of Meritech Management Associates II L.L.C., a managing member of Meritech Capital Associates II L.L.C., the general partner of MCP Entrepreneur Partners II L.P.
2012-04-25
/s/ Paul S. Madera
2012-04-25
/s/ Michael B. Gordon
2012-04-25