0001140361-17-000773.txt : 20170105 0001140361-17-000773.hdr.sgml : 20170105 20170105171625 ACCESSION NUMBER: 0001140361-17-000773 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170103 FILED AS OF DATE: 20170105 DATE AS OF CHANGE: 20170105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROOFPOINT INC CENTRAL INDEX KEY: 0001212458 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 510414846 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 408-517-4710 MAIL ADDRESS: STREET 1: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee Robert Darren CENTRAL INDEX KEY: 0001634774 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 17511803 MAIL ADDRESS: STREET 1: C/O PROOFPOINT, INC. STREET 2: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 FORMER NAME: FORMER CONFORMED NAME: Lee Darren DATE OF NAME CHANGE: 20150223 4 1 doc1.xml FORM 4 X0306 4 2017-01-03 0 0001212458 PROOFPOINT INC PFPT 0001634774 Lee Robert Darren C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 0 1 0 0 SVP, GM Archiving & Governance Common Stock 2017-01-03 4 M 0 2652 14.12 A 2655 D Common Stock 2017-01-03 4 M 0 348 7.98 A 3003 D Common Stock 2017-01-03 4 S 0 3000 71.50 D 3 D Non-qualified Stock Option (right to buy) 14.12 2017-01-03 4 M 0 2652 0 D 2023-03-05 Common Stock 2652 5513 D Non-qualified Stock Option (right to buy) 7.98 2017-01-03 4 M 0 348 0 D 2021-12-29 Common Stock 348 0 D The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan with an effective date of June 9, 2016. The stock option is immediately exercisable in full. /s/ Robert Darren Lee by Michael Yang, Attorney-in-Fact 2017-01-05