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