SEC Form 4 · accession 0001140361-15-035305

PROOFPOINT INC · PFPT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, GM Archiving & Governance

Period of report

Sep 15, 2015

Accepted (ET)

Sep 17, 2015 · 5:31 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001212458

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock	Sep 15, 2015	M	1,987	$36.00	A	1,987	D
Common Stock	Sep 15, 2015	M	13	$7.98	A	2,000	D
Common Stock^F2,F3	Sep 15, 2015	S	1,300	$59.0439	D	700	D
Common Stock^F2,F4	Sep 15, 2015	S	700	$59.6743	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Non-qualified Stock Option (right to buy)^F5	$36.00	Sep 15, 2015	M	1,987	D	—	Feb 24, 2025	Common Stock	1,987	16,013	D
Non-qualified Stock Option (right to buy)^F5	$7.98	Sep 15, 2015	M	13	D	—	Dec 29, 2021	Common Stock	13	0	D

F1The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 4, 2015.
F2Represents the aggregate of sales effected on the same day at different prices.
F3Represents the weighted average sales price per share. The shares sold at prices ranging from $58.56 to $59.55 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.
F4Represents the weighted average sales price per share. The shares sold at prices ranging from $59.56 to $59.80 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.
F5The stock option is immediately exercisable in full.