0001209191-20-009759.txt : 20200214 0001209191-20-009759.hdr.sgml : 20200214 20200214173810 ACCESSION NUMBER: 0001209191-20-009759 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200213 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Knight David CENTRAL INDEX KEY: 0001547394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 20622204 MAIL ADDRESS: STREET 1: C/O PROOFPOINT, INC. STREET 2: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-02-13 0 0001212458 PROOFPOINT INC PFPT 0001547394 Knight David C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 0 1 0 0 EVP Product Mgmnt & Marketing Common Stock 2020-02-13 4 M 0 892 57.49 A 14502 D Common Stock 2020-02-13 4 M 0 1608 50.93 A 16110 D Common Stock 2020-02-13 4 S 0 2450 126.0274 D 13660 D Common Stock 2020-02-13 4 S 0 50 127.21 D 13610 D Employee Stock Option (right to buy) 57.49 2020-02-13 4 M 0 892 0.00 D 2025-04-06 Common Stock 892 0 D Employee Stock Option (right to buy) 50.93 2020-02-13 4 M 0 1608 0.00 D 2026-04-08 Common Stock 1608 14392 D This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. Represents the aggregate of sales effected on the same day at different prices. Represents the weighted average sale price. The lowest price at which shares were sold was $125.68 and the highest price at which shares were sold was $126.57. The reporting person undertakes to provide upon request to the staff of the Securities Exchange Commission, the issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein. 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, subject to the Reporting Person's provision of service to the Issuer on each vesting date. The stock option will vest as to 1/4th of the total number of shares on February 1, 2017, and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments, subject to the Reporting Person's provision of service to the Issuer on each vesting date. /s/ David Knight by Stephen Chen, Attorney-in-Fact 2020-02-14