SEC Form 4 · accession 0001140361-15-038666
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dana L Evan
Director
Period of report
Oct 23, 2015
Accepted (ET)
Oct 27, 2015 · 4:30 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 23, 2015 | M | 1,250 | $4.56 | A | 6,442 | D | |
| Common Stock | Oct 23, 2015 | S | 950 | $63.0101 | D | 5,492 | D | |
| Common Stock | Oct 23, 2015 | S | 300 | $63.09 | D | 5,192 | D | |
| Common Stock | Oct 26, 2015 | M | 1,250 | $4.56 | A | 6,442 | D | |
| Common StockF1,F2 | Oct 26, 2015 | S | 1,250 | $64.2284 | D | 5,192 | D |
Table II — derivative securities
| 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)F3 | $4.56 | Oct 23, 2015 | M | 1,250 | D | — | Jun 11, 2018 | Common Stock | 1,250 | 10,163 | D |
| Non-qualified stock option (right to buy)F3 | $4.56 | Oct 26, 2015 | M | 1,250 | D | — | Jun 11, 2018 | Common Stock | 1,250 | 8,913 | D |
Explanation of responses
- F1Represents the aggregate of sales effected on the same day at different prices.
- F2Represents the weighted average sales price per share. The shares sold at prices ranging from $64.16 to $64.29 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.
- F3The stock option is immediately exercisable in full.