0001140361-18-018094.txt : 20180410 0001140361-18-018094.hdr.sgml : 20180410 20180410200204 ACCESSION NUMBER: 0001140361-18-018094 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180406 FILED AS OF DATE: 20180410 DATE AS OF CHANGE: 20180410 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Swaroop Bhagwat CENTRAL INDEX KEY: 0001678830 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 18749013 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 2018-04-06 0 0001212458 PROOFPOINT INC PFPT 0001678830 Swaroop Bhagwat C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 0 1 0 0 EVP & GM, Protection Common Stock 2018-04-06 4 S 0 3077 117.41 D 1000 D The transactions reported on this line were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 6, 2018. Includes 341 shares acquired under the issuer's employee stock purchase plan (the "ESPP") on May 15, 2017, 239 shares acquired under the issuer's ESPP on November 15, 2017, and the sale of an aggregate of 580 shares that were acquired under the ESPP on April 6, 2018. /s/ Bhagwat Swaroop by Michael Yang, Attorney-In-Fact 2018-04-10