0001140361-18-027942.txt : 20180608 0001140361-18-027942.hdr.sgml : 20180608 20180608191546 ACCESSION NUMBER: 0001140361-18-027942 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180606 FILED AS OF DATE: 20180608 DATE AS OF CHANGE: 20180608 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: 18890736 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 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 4 1 doc1.xml FORM 4 X0306 4 2018-06-06 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 2018-06-06 4 M 0 500 57.49 A 4044 D Common Stock 2018-06-06 4 M 0 667 50.93 A 4711 D Common Stock 2018-06-06 4 S 0 4711 122.969 D 0 D Non-qualified Stock Option (right to buy) 57.49 2018-06-06 4 M 0 500 0 D 2025-04-06 Common Stock 500 1000 D Non-qualified Stock Option (right to buy) 50.93 2018-06-06 4 M 0 667 0 D 2026-04-08 Common Stock 667 3333 D The stock option vested and became exercisable as to 1/4th of the total number of shares on February 1, 2016 and thereafter shall vest and become exercisable as to 1/48th of the total number of shares in equal monthly installments. The stock option vested and became exercisable as to 1/4th of the total number of shares on February 1, 2017 and thereafter shall vest and become exercisable as to 1/48th of the total number of shares in equal monthly installments. /s/ Robert Darren Lee by Michael Yang, Attorney-in-Fact 2018-06-08