0001140361-18-009647.txt : 20180222
0001140361-18-009647.hdr.sgml : 20180222
20180222170008
ACCESSION NUMBER: 0001140361-18-009647
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180220
FILED AS OF DATE: 20180222
DATE AS OF CHANGE: 20180222
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: 18633340
MAIL ADDRESS:
STREET 1: 4750 WILLOW ROAD
CITY: PLEASANTON
STATE: CA
ZIP: 94588
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
2018-02-20
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
2018-02-20
4
M
0
1375
36
A
24723
D
Common Stock
2018-02-20
4
M
0
437
57.49
A
25160
D
Common Stock
2018-02-20
4
M
0
6375
50.93
A
31535
D
Common Stock
2018-02-20
4
S
0
687
105.3181
D
30848
D
Common Stock
2018-02-20
4
S
0
4600
106.0662
D
26248
D
Common Stock
2018-02-20
4
S
0
2900
107.0495
D
23348
D
Non-qualified Stock Option (right to buy)
36
2018-02-20
4
M
0
1375
0
D
2024-03-26
Common Stock
1375
0
D
Non-qualified Stock Option (right to buy)
57.49
2018-02-20
4
M
0
437
0
D
2025-04-06
Common Stock
437
5250
D
Non-qualified Stock Option (right to buy)
50.93
2018-02-20
4
M
0
6375
0
D
2026-04-08
Common Stock
6375
8000
D
The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017.
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 $104.65 to $105.64 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 $105.65 to $106.60 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 $106.69 to $107.55 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 vests as to 1/4th of the total number of shares on February 1, 2015 and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments.
The stock option vests as to 1/4th of the total number of shares on February 1, 2016 and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments.
The stock option vests as to 1/4th of the total number of shares on February 1, 2017 and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments.
/s/ Tracey Newell by Michael Yang, Attorney-in-Fact
2018-02-22