SEC Form 4 · accession 0001140361-16-082319

PROOFPOINT INC · PFPT

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

Reporting owner

Director · Other

Period of report

Oct 6, 2016

Accepted (ET)

Oct 7, 2016 · 6:46 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 6, 2016	M	5,000	$2.30	A	121,215	D
Common Stock^F2,F3	Oct 6, 2016	S	3,700	$72.733	D	117,515	D
Common Stock^F2,F4	Oct 6, 2016	S	1,300	$73.3605	D	116,215	D
Common Stock^F5	holding	—	—		—	213,718	I	By Family Trust

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)^F6	$2.30	Oct 6, 2016	M	5,000	D	—	Jul 18, 2017	Common Stock	5,000	22,835	D

F1These transactions were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 9, 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 $72.165 to $73.065 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 $73.12 to $73.62 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.
F5Shares directly held by the Hahn Family Trust dated 10/20/1999, of which the Reporting Person is a trustee and may be deemed to share voting and dispositive power over these shares.
F6The stock option is immediately exercisable in full.