SEC Form 4 · accession 0001140361-16-052442

PROOFPOINT INC · PFPT

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

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — Chief Financial Officer

Period of report

Feb 11, 2016

Accepted (ET)

Feb 12, 2016 · 6:13 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
Common Stock	Feb 11, 2016	M	25,773	$3.88	A	485,752	D
Common Stock	Feb 11, 2016	M	18,248	$5.48	A	504,000	D
Common Stock	Feb 11, 2016	M	12,531	$7.98	A	516,531	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)^F1	$3.88	Feb 11, 2016	M	25,773	D	—	Mar 9, 2020	Common Stock	25,773	33,454	D
Incentive Stock Option (right to buy)^F1	$5.48	Feb 11, 2016	M	18,248	D	—	Apr 29, 2021	Common Stock	18,248	0	D
Incentive Stock Option (right to buy)^F1	$7.98	Feb 11, 2016	M	12,531	D	—	Jan 23, 2022	Common Stock	12,531	0	D