SEC Form 4/A · accession 0001140361-17-001586
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Paul R. Auvil III
Officer — Chief Financial Officer
Period of report
Feb 11, 2016
Accepted (ET)
Jan 11, 2017 · 6:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001212458
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1,F2 | $3.88 | Feb 11, 2016 | M | 25,773 | D | — | Mar 9, 2020 | Common Stock | 25,773 | 0 | D |
Explanation of responses
- F1All shares were exercised under the Incentive Stock Option and not the Non-qualified Stock Option as originally reported on February 12, 2016.
- F2The stock option is immediately exercisable in full.