SEC Form 4 · accession 0001140361-18-018094
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bhagwat Swaroop
Officer — EVP & GM, Protection
Period of report
Apr 6, 2018
Accepted (ET)
Apr 10, 2018 · 8:02 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 StockF2 | Apr 6, 2018 | S | 3,077 | $117.41 | D | 1,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported on this line were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 6, 2018.
- F2Includes 341 shares acquired under the issuer's employee stock purchase plan (the "ESPP") on May 15, 2017, 239 shares acquired under the issuer's ESPP on November 15, 2017, and the sale of an aggregate of 580 shares that were acquired under the ESPP on April 6, 2018.