0001140361-17-045743.txt : 20171211 0001140361-17-045743.hdr.sgml : 20171211 20171211182029 ACCESSION NUMBER: 0001140361-17-045743 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171207 FILED AS OF DATE: 20171211 DATE AS OF CHANGE: 20171211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Knight David CENTRAL INDEX KEY: 0001547394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 171250577 MAIL ADDRESS: STREET 1: C/O PROOFPOINT, INC. STREET 2: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 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 4 1 doc1.xml FORM 4 X0306 4 2017-12-07 0 0001212458 PROOFPOINT INC PFPT 0001547394 Knight David C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 0 1 0 0 EVP/GM, Threat Sys Product Grp Common Stock 2017-12-07 4 M 0 1431 36 A 15305 D Common Stock 2017-12-07 4 M 0 972 57.49 A 16277 D Common Stock 2017-12-07 4 S 0 400 83.85 D 15877 D Common Stock 2017-12-07 4 S 0 1200 85.3708 D 14677 D Common Stock 2017-12-07 4 S 0 1400 86.0141 D 13277 D Non-qualified Stock Option (right to buy) 36 2017-12-07 4 M 0 1431 0 D 2024-03-26 Common Stock 1431 1562 D Non-qualified Stock Option (right to buy) 57.49 2017-12-07 4 M 0 972 0 D 2025-04-06 Common Stock 972 12028 D The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 6, 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 $83.57 to $84.12 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 $84.70 to $85.66 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 $85.71 to $86.27 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 February 1, 2015 and thereafter vested and shall continue to vest as to 1/48th of the total number of shares in equal monthly installments. The stock option vested as to 1/4th of the total number of shares on February 1, 2016 and thereafter vested and shall continue to vest as to 1/48th of the total number of shares in equal monthly installments. /s/ David Knight By Michael Yang, Attorney-In-Fact 2017-12-11