SEC Form 4 · accession 0001140361-15-040041
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dana L Evan
Director
Period of report
Nov 5, 2015
Accepted (ET)
Nov 6, 2015 · 5:27 pm EST
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 | Nov 5, 2015 | M | 2,000 | $4.56 | A | 7,192 | D | |
| Common StockF1,F2 | Nov 5, 2015 | S | 2,000 | $70.172 | 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 | Nov 5, 2015 | M | 2,000 | D | — | Jun 11, 2018 | Common Stock | 2,000 | 6,913 | 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 $70.02 to $70.44 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.