SEC Form 4 · accession 0001140361-16-062112
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Bettencourt
Director
Period of report
Apr 25, 2016
Accepted (ET)
Apr 26, 2016 · 8:01 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 | Apr 25, 2016 | M | 12,500 | $11.00 | A | 22,612 | D | |
| Common StockF1,F2 | Apr 25, 2016 | S | 12,500 | $57.054 | D | 10,112 | 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 | $11.00 | Apr 25, 2016 | M | 12,500 | D | — | Apr 10, 2022 | Common Stock | 12,500 | 0 | 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 $56.81 to $57.4098 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.