4//SEC Filing
Cooper Tom 4
Accession 0001140361-13-010158
CIK 0001212458other
Filed
Feb 28, 7:00 PM ET
Accepted
Mar 1, 7:35 PM ET
Size
18.8 KB
Accession
0001140361-13-010158
Insider Transaction Report
Form 4
PROOFPOINT INCPFPT
Cooper Tom
EVP Worldwide Field Operations
Transactions
- Exercise/Conversion
Common Stock
2013-03-01$5.38/sh+107,029$575,816→ 195,769 total - Exercise/Conversion
Non-qualified stock option (right to buy)
2013-02-27−43,500→ 377,887 totalExercise: $5.38Exp: 2020-12-15→ Common Stock (43,500 underlying) - Exercise/Conversion
Non-qualified stock option (right to buy)
2013-02-27−191,540→ 0 total(indirect: By Trust)Exercise: $5.38Exp: 2020-12-15→ Common Stock (191,540 underlying) - Tax Payment
Common Stock
2013-03-01$14.00/sh−66,620$932,680→ 129,149 total - Exercise/Conversion
Incentive Stock Option (right to buy)
2013-03-01−10,068→ 8,519 totalExercise: $5.38Exp: 2020-12-15→ Common Stock (10,068 underlying) - Tax Payment
Common Stock
2013-02-27$14.51/sh−146,300$2,122,989→ 88,740 total - Exercise/Conversion
Non-qualified stock option (right to buy)
2013-03-01−96,961→ 280,926 totalExercise: $5.38Exp: 2020-12-15→ Common Stock (96,961 underlying) - Exercise/Conversion
Common Stock
2013-02-27$5.38/sh+235,040$1,264,515→ 235,040 total
Footnotes (5)
- [F1]Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the exercise price of the option. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover the applicable exercise price.
- [F2]Represents the aggregate of sales effected on the same day at different prices.
- [F3]Represents the weighted average sales price per share. The shares sold at prices ranging from $14.50 to $14.62 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
- [F4]The stock option is immediately exercisable in full.
- [F5]The stock option is held directly by Thomas R. Cooper 2012 GRAT, of which the Reporting Person is the sole trustee and may be deemed to have sole voting and investment power over these shares.
Documents
Issuer
PROOFPOINT INC
CIK 0001212458
Entity typeother
Related Parties
1- filerCIK 0001547400
Filing Metadata
- Form type
- 4
- Filed
- Feb 28, 7:00 PM ET
- Accepted
- Mar 1, 7:35 PM ET
- Size
- 18.8 KB