SEC Form 4 · accession 0001140361-16-084579
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Darren Lee
Officer — SVP, GM Archiving & Governance
Period of report
Nov 1, 2016
Accepted (ET)
Nov 2, 2016 · 5:06 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 | Nov 1, 2016 | M | 1,200 | $14.12 | A | 1,203 | D | |
| Common Stock | Nov 1, 2016 | M | 800 | $36.00 | A | 2,003 | D | |
| Common Stock | Nov 1, 2016 | S | 2,000 | $78.34 | D | 3 | 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)F2 | $14.12 | Nov 1, 2016 | M | 1,200 | D | — | Mar 5, 2023 | Common Stock | 1,200 | 9,365 | D |
| Non-qualified Stock Option (right to buy)F2 | $36.00 | Nov 1, 2016 | M | 800 | D | — | Mar 26, 2024 | Common Stock | 800 | 10,378 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan with an effective date of June 9, 2016.
- F2The stock option is immediately exercisable in full.