0001140361-16-087997.txt : 20161128 0001140361-16-087997.hdr.sgml : 20161128 20161128195921 ACCESSION NUMBER: 0001140361-16-087997 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161123 FILED AS OF DATE: 20161128 DATE AS OF CHANGE: 20161128 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: Steele Gary CENTRAL INDEX KEY: 0001547434 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 162021051 MAIL ADDRESS: STREET 1: C/O PROOFPOINT, INC. STREET 2: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc1.xml FORM 4 X0306 4 2016-11-23 0 0001212458 PROOFPOINT INC PFPT 0001547434 Steele Gary C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 1 1 0 0 Chief Executive Officer Common Stock 2016-11-23 4 M 0 20000 3.06 A 34629 D Common Stock 2016-11-23 4 S 0 18600 84.0202 D 16029 D Common Stock 2016-11-23 4 S 0 1400 84.6857 D 14629 D Non-qualified stock option (right to buy) 3.06 2016-11-23 4 M 0 20000 0 D 2019-03-16 Common Stock 20000 100773 D The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 9, 2015. 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 $83.48 to $84.47 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 $84.56 to $84.90 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/ Gary Steele by Michael Yang, Attorney-in-Fact 2016-11-28