0001140361-17-024412.txt : 20170607 0001140361-17-024412.hdr.sgml : 20170607 20170607200907 ACCESSION NUMBER: 0001140361-17-024412 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170606 FILED AS OF DATE: 20170607 DATE AS OF CHANGE: 20170607 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: Auvil Paul R. III CENTRAL INDEX KEY: 0001410972 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 17898431 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 2017-06-06 0 0001212458 PROOFPOINT INC PFPT 0001410972 Auvil Paul R. III C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 0 1 0 0 Chief Financial Officer Common Stock 2017-06-06 4 M 0 9227 3.88 A 104705 D Common Stock 2017-06-06 4 M 0 15773 5.48 A 120478 D Common Stock 2017-06-06 4 S 0 22241 90.4644 D 98237 D Common Stock 2017-06-06 4 S 0 2759 91.1629 D 95478 D Common Stock 446398 I By family trust Non-qualified Stock Option (right to buy) 3.88 2017-06-06 4 M 0 9227 0 D 2020-03-09 Common Stock 9227 0 D Non-qualified Stock Option (right to buy) 5.48 2017-06-06 4 M 0 15773 0 D 2021-04-29 Common Stock 15773 3479 D The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 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 $90.00 to $90.99 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 $91.02 to $91.40 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/ Paul R. Auvil III by Michael Yang, Attorney-In-Fact 2017-06-07