Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cerebras Systems Inc.CBRS · Entity 3072 | Director | May 15, 2026 | May 15, 2026 |
| Elastic N.V.ESTC · Entity 1064 | Director | December 01, 2025 | December 02, 2025 |
| QUANTUM CORP /DE/QTM · Entity 4987 | Director | September 01, 2017 | September 05, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Cerebras Systems Inc.
Report date May 15, 2026 · Filed May 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-05-15 transaction · row 1
1 source rowRow 1 · 2026-05-15 · Other · Disposed 203,750 · Balance 0 F1: Immediately prior to the completion of the Issuer's initial public offering, each share of Class A common stock beneficially owned by the Reporting Person, including shares of Class A common stock underlying restricted stock unit ("RSU") and stock options awards, were reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. Each share of Class B common stock is convertible at any time at the option of the holder into one share of Class A common stock. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 203,750 |
Reported balance
After 2026-05-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-15 · Other · Acquired 203,750 · Balance 203,750 F1: Immediately prior to the completion of the Issuer's initial public offering, each share of Class A common stock beneficially owned by the Reporting Person, including shares of Class A common stock underlying restricted stock unit ("RSU") and stock options awards, were reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. Each share of Class B common stock is convertible at any time at the option of the holder into one share of Class A common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Immediately prior to the completion of the Issuer's initial public offering, each share of Class A common stock beneficially owned by the Reporting Person, including shares of Class A common stock underlying restricted stock unit ("RSU") and stock options awards, were reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. Each share of Class B common stock is convertible at any time at the option of the holder into one share of Class A common stock.
Elastic N.V.
Report date December 01, 2025 · Filed December 02, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 37,956 |
Ending reported balance
After 2025-12-01 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2025-12-01 · Purchase · Acquired 1,000 · Balance 28,956 Row 2 · 2025-12-01 · Purchase · Acquired 5,000 · Balance 33,956 Row 3 · 2025-12-01 · Purchase · Acquired 4,000 · Balance 37,956 |
QUANTUM CORP /DE/
Report date September 01, 2017 · Filed September 05, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 101,735 |
Reported balance
After 2017-09-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-09-01 · Grant · Acquired 22,482 · Balance 101,735 F1: Restricted Stock Units will fully vest on the earlier to occur of: i) the date of Quantum Corporation's next Annual Stockholder Meeting; and ii) September 1, 2018. F2: The number of shares have been adjusted for the effect of the 1-for-8 reverse stock split effective April 18, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units will fully vest on the earlier to occur of: i) the date of Quantum Corporation's next Annual Stockholder Meeting; and ii) September 1, 2018.
F2: The number of shares have been adjusted for the effect of the 1-for-8 reverse stock split effective April 18, 2017.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
1Life Healthcare Inc
Report date February 22, 2023 · Filed February 24, 2023
Section 16 reporting ended · disclosed 2023-02-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 1
1 source rowRow 1 · 2023-02-22 · Disposition to issuer · Disposed 12,586 · Balance 0 F1: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration"). |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.47 · Expires 2029-09-18 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-02-22 · Disposition to issuer · Disposed 10,462 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes. F3: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option were accelerated in full. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.55 · Expires 2030-04-14 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-02-22 · Disposition to issuer · Disposed 984 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5: The shares subject to the option are fully vested and immediately exercisable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.00 · Expires 2030-05-13 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-02-22 · Disposition to issuer · Disposed 5,294 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5: The shares subject to the option are fully vested and immediately exercisable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.55 · Expires 2030-07-14 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-02-22 · Disposition to issuer · Disposed 498 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5: The shares subject to the option are fully vested and immediately exercisable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.48 · Expires 2030-10-14 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-02-22 · Disposition to issuer · Disposed 1,014 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5: The shares subject to the option are fully vested and immediately exercisable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $42.68 · Expires 2031-01-14 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-02-22 · Disposition to issuer · Disposed 725 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5: The shares subject to the option are fully vested and immediately exercisable. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $42.70 · Expires 2031-04-14 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-02-22 · Disposition to issuer · Disposed 718 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5: The shares subject to the option are fully vested and immediately exercisable. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-02-22 · Disposition to issuer · Disposed 20,728 · Balance 0 F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis. F7: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration").
F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes.
F3: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option were accelerated in full.
F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration.
F5: The shares subject to the option are fully vested and immediately exercisable.
F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis.
F7: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration.
MARIN SOFTWARE INC
Report date April 27, 2017 · Filed May 02, 2017
Section 16 reporting ended · disclosed 2017-05-02. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
PROOFPOINT INC
Report date August 31, 2021 · Filed August 31, 2021
Section 16 reporting ended · disclosed 2021-08-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 1
1 source rowRow 1 · 2021-08-31 · Disposition to issuer · Disposed 122,063 · Balance 0 F1: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash. |
| Common StockSEC Table I · non-derivative | IndirectBy family trust | 0 |
Reported balance
After 2021-08-31 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-08-31 · Disposition to issuer · Disposed 261,918 · Balance 0 F1: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $36.00 · Expires 2024-03-26 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-08-31 · Disposition to issuer · Disposed 80,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F3: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.49 · Expires 2025-04-06 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-08-31 · Disposition to issuer · Disposed 32,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F3: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.93 · Expires 2026-04-08 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-08-31 · Disposition to issuer · Disposed 32,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F3: The stock option is fully vested. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-08-31 · Disposition to issuer · Disposed 4,150 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's common stock upon settlement for no consideration. F5: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F6: Restricted stock units do not expire; they either vest or are canceled prior to vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-08-31 · Disposition to issuer · Disposed 12,500 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's common stock upon settlement for no consideration. F5: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F6: Restricted stock units do not expire; they either vest or are canceled prior to vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-08-31 · Disposition to issuer · Disposed 8,000 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's common stock upon settlement for no consideration. F5: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F6: Restricted stock units do not expire; they either vest or are canceled prior to vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-08-31 · Disposition to issuer · Disposed 11,250 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's common stock upon settlement for no consideration. F5: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F6: Restricted stock units do not expire; they either vest or are canceled prior to vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-08-31 · Disposition to issuer · Disposed 40,000 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's common stock upon settlement for no consideration. F5: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F6: Restricted stock units do not expire; they either vest or are canceled prior to vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-08-31 · Disposition to issuer · Disposed 2,812 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's common stock upon settlement for no consideration. F5: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F6: Restricted stock units do not expire; they either vest or are canceled prior to vesting date. F7: The restricted stock units were earned by the Reporting Person on April 20, 2021 as determined by the Issuer's Board of Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash.
F2: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option.
F3: The stock option is fully vested.
F4: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's common stock upon settlement for no consideration.
F5: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates.
F6: Restricted stock units do not expire; they either vest or are canceled prior to vesting date.
F7: The restricted stock units were earned by the Reporting Person on April 20, 2021 as determined by the Issuer's Board of Directors.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 05, 2018 Filed Sep 7, 2018 20:06 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 325 | $116.66 | $37,915.87 |
DisclosureSEC source: 0001567619-18-002292 · doc1.xml · nonDerivative · entry 4 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,809.5 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F5 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $116.51 to $117.35 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. Read SEC document |
| September 05, 2018 Filed Sep 7, 2018 20:06 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 3,575 | $115.97 | $414,592.04 |
DisclosureSEC source: 0001567619-18-002292 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,134.5 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $115.51 to $116.50 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. Read SEC document |
| September 05, 2018 Filed Sep 7, 2018 20:06 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 787.5 | $115.27 | $90,772.53 |
DisclosureSEC source: 0001567619-18-002292 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,709.5 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $114.51 to $115.49 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. Read SEC document |
| September 05, 2018 Filed Sep 7, 2018 20:06 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 5,000 | $7.98 | $39,900.00 |
DisclosureSEC source: 0001567619-18-002292 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,497 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 22:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 19,969 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001140361-18-035447 · doc1.xml · derivative · entry 7 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 19,969 shares Expires 2022-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F5 · derivative.exercise_date: The stock option is immediately exercisable in full. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 22:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,479 | $0.00 Strike: $5.48 | $0.00 |
DisclosureSEC source: 0001140361-18-035447 · doc1.xml · derivative · entry 6 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,479 shares Expires 2021-04-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F5 · derivative.exercise_date: The stock option is immediately exercisable in full. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 22:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 21,001 | $114.71 | $2,408,999.51 |
DisclosureSEC source: 0001140361-18-035447 · doc1.xml · nonDerivative · entry 4 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,497 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $114.14 to $115.00 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. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 22:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 18,999 | $112.59 | $2,139,008.11 |
DisclosureSEC source: 0001140361-18-035447 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,498 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $112.26 to $113.08 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. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 22:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 19,969 | $7.98 | $159,352.62 |
DisclosureSEC source: 0001140361-18-035447 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,497 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 22:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 3,479 | $5.48 | $19,064.92 |
DisclosureSEC source: 0001140361-18-035447 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,528 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:44 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 2,724 | $118.72 | $323,396.00 |
DisclosureSEC source: 0001140361-18-032293 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,049 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F5 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $118.58 to $119.37 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. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:44 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 22,076 | $118.13 | $2,607,804.77 |
DisclosureSEC source: 0001140361-18-032293 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,773 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $117.56 to $118.55 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. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:44 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 15,200 | $117.04 | $1,778,945.68 |
DisclosureSEC source: 0001140361-18-032293 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,849 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 4, 2018. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $116.56 to $117.52 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. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 12:54 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-027953 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,049 F1 · shares: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:12 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 3,125 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-027393 · doc1.xml · derivative · entry 8 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,875 Underlying: Common Stock · 3,125 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:12 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 3,125 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-027393 · doc1.xml · derivative · entry 7 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,875 Underlying: Common Stock · 3,125 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:12 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-027393 · doc1.xml · derivative · entry 6 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires not disclosed F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4 · shares: Represents PRSUs earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:12 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-027393 · doc1.xml · derivative · entry 5 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires not disclosed F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4 · shares: Represents PRSUs earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:12 UTC | PROOFPOINT INC PFPT · Entity 135877 | Tax withholdingCommon Stock | 3,100 | $120.57 | $373,767.00 |
DisclosureSEC source: 0001140361-18-027393 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,049 F2 · kind: 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 Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs or PRSUs. 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 required taxes. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:12 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-027393 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,149 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:12 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-027393 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,024 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 23:05 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 1,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-016545 · doc1.xml · derivative · entry 5 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 1,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. F4 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F4 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 23:05 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 1,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-016545 · doc1.xml · derivative · entry 4 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 1,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. F4 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F4 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 23:05 UTC | PROOFPOINT INC PFPT · Entity 135877 | Tax withholdingCommon Stock | 1,488 | $113.65 | $169,111.20 |
DisclosureSEC source: 0001140361-18-016545 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,899 F2 · kind: 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 Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs. 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 required taxes. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 23:05 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-016545 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,387 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. Read SEC document |
| March 24, 2018 Filed Mar 28, 2018 01:28 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 2,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-015304 · doc1.xml · derivative · entry 6 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Underlying: Common Stock · 2,750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2 · kind: Vesting of RSUs earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. F6 · derivative.exercise_date: The RSUs vest as to 1/2 of the total number of shares on May 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2018. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F6 · derivative.expiration_date: The RSUs vest as to 1/2 of the total number of shares on May 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2018. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| March 24, 2018 Filed Mar 28, 2018 01:28 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 2,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-015304 · doc1.xml · derivative · entry 5 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Underlying: Common Stock · 2,750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on June 21, 2016 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on June 21, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2017. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on June 21, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2017. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| March 24, 2018 Filed Mar 28, 2018 01:28 UTC | PROOFPOINT INC PFPT · Entity 135877 | Tax withholdingCommon Stock | 2,728 | $115.75 | $315,766.00 |
DisclosureSEC source: 0001140361-18-015304 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,387 F3 · kind: 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 Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs. 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 required taxes. Read SEC document |
| March 24, 2018 Filed Mar 28, 2018 01:28 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 2,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-015304 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,115 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Vesting of RSUs earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. Read SEC document |
| March 24, 2018 Filed Mar 28, 2018 01:28 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 2,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-015304 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,365 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on June 21, 2016 as a result of the Reporting Person having met certain performance criteria. Read SEC document |
| March 19, 2018 Filed Mar 21, 2018 23:35 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantRestricted Stock Units · Derivative | 16,600 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-014529 · doc1.xml · derivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,600 Underlying: Common Stock · 16,600 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: The RSUs will vest as to 1/4th of the total number of shares on February 1, 2019 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F2 · derivative.expiration_date: The RSUs will vest as to 1/4th of the total number of shares on February 1, 2019 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · derivative · entry 10 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 5,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4 · kind: Vesting of RSUs granted to the Reporting Person on February 2, 2017. F10 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2018 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F10 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2018 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 4,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · derivative · entry 9 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 4,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F3 · kind: Vesting of RSUs granted to the Reporting Person on March 29, 2016. F9 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F9 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 4,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · derivative · entry 8 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,250 Underlying: Common Stock · 4,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2 · kind: Vesting of RSUs granted to the Reporting Person on March 24, 2015. F8 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F8 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · derivative · entry 7 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on March 17, 2014. F7 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2015 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F7 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2015 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Tax withholdingCommon Stock | 10,113 | $102.02 | $1,031,728.26 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · nonDerivative · entry 5 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,615 F5 · kind: 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 Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs. 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 required taxes. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · nonDerivative · entry 4 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,728 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: Vesting of RSUs granted to the Reporting Person on February 2, 2017. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,728 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: Vesting of RSUs granted to the Reporting Person on March 29, 2016. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 4,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,728 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Vesting of RSUs granted to the Reporting Person on March 24, 2015. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:10 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-005058 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,478 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on March 17, 2014. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 20:46 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | GrantCommon Stock | 22,482 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-051363 · doc4.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,735 F1 · shares: Restricted Stock Units will fully vest on the earlier to occur of: i) the date of Quantum Corporation's next Annual Stockholder Meeting; and ii) September 1, 2018. F2 · balance_after: The number of shares have been adjusted for the effect of the 1-for-8 reverse stock split effective April 18, 2017. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 00:09 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative | 15,773 | $0.00 Strike: $5.48 | $0.00 |
DisclosureSEC source: 0001140361-17-024412 · doc1.xml · derivative · entry 7 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,479 Underlying: Common Stock · 15,773 shares Expires 2021-04-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. F5 · derivative.exercise_date: The stock option is immediately exercisable in full. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 00:09 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative | 9,227 | $0.00 Strike: $3.88 | $0.00 |
DisclosureSEC source: 0001140361-17-024412 · doc1.xml · derivative · entry 6 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,227 shares Expires 2020-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. F5 · derivative.exercise_date: The stock option is immediately exercisable in full. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 00:09 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 2,759 | $91.16 | $251,518.44 |
DisclosureSEC source: 0001140361-17-024412 · doc1.xml · nonDerivative · entry 4 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,478 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $91.02 to $91.40 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. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 00:09 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 22,241 | $90.46 | $2,012,018.72 |
DisclosureSEC source: 0001140361-17-024412 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,237 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $90.00 to $90.99 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. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 00:09 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 15,773 | $5.48 | $86,436.04 |
DisclosureSEC source: 0001140361-17-024412 · doc1.xml · nonDerivative · entry 2 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,478 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 00:09 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionCommon Stock | 9,227 | $3.88 | $35,800.76 |
DisclosureSEC source: 0001140361-17-024412 · doc1.xml · nonDerivative · entry 1 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,705 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. Read SEC document |
| May 15, 2017 Filed May 16, 2017 22:21 UTC | PROOFPOINT INC PFPT · Entity 135877 | Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $3.88 | $0.00 |
DisclosureSEC source: 0001140361-17-021043 · doc1.xml · derivative · entry 6 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,227 Underlying: Common Stock · 25,000 shares Expires 2020-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. F6 · derivative.exercise_date: The stock option is immediately exercisable in full. Read SEC document |
| May 15, 2017 Filed May 16, 2017 22:21 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 900 | $87.07 | $78,362.46 |
DisclosureSEC source: 0001140361-17-021043 · doc1.xml · nonDerivative · entry 4 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,478 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F5 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $87.025 to $87.095 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. Read SEC document |
| May 15, 2017 Filed May 16, 2017 22:21 UTC | PROOFPOINT INC PFPT · Entity 135877 | SaleCommon Stock | 14,408 | $86.39 | $1,244,698.48 |
DisclosureSEC source: 0001140361-17-021043 · doc1.xml · nonDerivative · entry 3 Auvil Paul R. III · CIK 0001410972 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,378 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 7, 2016. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $86.00 to $86.99 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.