0001140361-17-023624.txt : 20170602 0001140361-17-023624.hdr.sgml : 20170602 20170602171006 ACCESSION NUMBER: 0001140361-17-023624 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170601 FILED AS OF DATE: 20170602 DATE AS OF CHANGE: 20170602 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: 17888951 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 2017-06-01 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 2017-06-01 4 M 0 2750 57.49 A 7619 D Common Stock 2017-06-01 4 S 0 2750 87.7526 D 4869 D Non-qualified Stock Option (right to buy) 57.49 2017-06-01 4 M 0 2750 0 D 2025-04-06 Common Stock 2750 3250 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 will vest as to 1/4th of the total number of shares on February 1, 2016 and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments. /s/ Robert Darren Lee by Michael Yang, Attorney-in-Fact 2017-06-02