IPO registrations (S-1, F-1) · Registrants
PROOFPOINT INC
- SEC CIK
- 1212458 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2011-12-14, last 2012-04-19; 1 initial registration, 6 amendments
- Outcome
- Final prospectus filed 2012-04-20; declared effective 2012-04-19
- Industry (SIC)
- Services-Computer Processing & Data Preparation 7374
- Incorporated in
- DE
- Business address
- 925 W. MAUDE AVENUE, Sunnyvale, CA 94085
- EIN
- 51-0414846
- EDGAR entity type
- operating
- Insiders and CEO pay
- PROOFPOINT INC on the corporate pages
Offering terms
- Proposed price range
- $10.00–$12.00 per share (S-1/A filed 2012-04-19)
- Final price
- $13.00 per share, above the range (424B4 filed 2012-04-20, an initial public offering)
- Shares sold
- 6,329,421 (5,130,000 by the company, 1,199,421 by selling holders)
- Gross proceeds
- $82,282,473 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol PFPT
- Lead underwriters
- Credit Suisse; Deutsche Bank
- Syndicate
- RBC Capital Markets; Pacific Crest Securities; First Analysis Securities Corp
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: PROOFPOINT, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: Proofpoint, Inc. Fuzzy (name and state)
- Business registration: Proofpoint, Inc. Fuzzy (name and state)
- Business registration: Proofpoint, Inc. Fuzzy (name and state)
- Business registration: PROOFPOINT, INC. Fuzzy (name and state)
- Business registration: PROOFPOINT, INC. Fuzzy (name and state)
- Business registration: PROOFPOINT, INC. Fuzzy (name and state)
- Business registration: PROOFPOINT, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: PROOFPOINT, INC EXACT (EIN (EXACT))
- Federal award recipient: PROOFPOINT, INC. Fuzzy (name and state)
- Lobbying client: PROOFPOINT INC Fuzzy (name and state)
- Lobbying client: PROOFPOINT, INC. Fuzzy (name and state)
- SEC filer: PROOFPOINT INC EXACT (CIK (EXACT))
- Person page: Douglas F Garn Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Philip J Koen Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 10
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2011-12-14 | S-1 | S-1 (registration) | PROOFPOINT INC | 0001047469-11-010082 ↗ |
| 2012-01-25 | S-1/A | S-1/A (amendment) | PROOFPOINT INC | 0001047469-12-000368 ↗ |
| 2012-02-29 | S-1/A | S-1/A (amendment) | PROOFPOINT INC | 0001047469-12-001930 ↗ |
| 2012-03-26 | S-1/A | S-1/A (amendment) | PROOFPOINT INC | 0001047469-12-003251 ↗ |
| 2012-04-09 | S-1/A | S-1/A (amendment) | PROOFPOINT INC | 0001047469-12-004021 ↗ |
| 2012-04-16 | S-1/A | S-1/A (amendment) | PROOFPOINT INC | 0001047469-12-004298 ↗ |
| 2012-04-19 | S-1/A | S-1/A (amendment) | PROOFPOINT INC | 0001047469-12-004507 ↗ |
| 2012-04-19 | S-1MEF | S-1MEF (added securities) | PROOFPOINT INC | 0001047469-12-004526 ↗ |
| 2012-04-19 | EFFECT | EFFECT (declared effective) | PROOFPOINT INC | 9999999995-12-001101 ↗ |
| 2012-04-20 | 424B4 | 424B4 (final prospectus) | PROOFPOINT INC | 0001047469-12-004531 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2012-04-19 | S-1/A | registration statement | $10.00–$12.00 | 6,199,421 | - | Nasdaq PFPT | 5 | primary document; range, price line, shares headline, proceeds computed, price outside the range dropped, cover names 5 | document ↗ | |
| 2012-04-20 | 424B4 | final prospectus | $13.00 | 6,329,421 | $82,282,473 | Nasdaq PFPT | 5 | primary document; price sentence, shares headline, proceeds table, cover names 5 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Auvil Paul R. III | Officer | Chief Financial Officer | 64 | 2012–2021 | |
| BALKANSKI ALEXANDRE | TenPercentOwner | 2 | 2012 | ||
| BENCHMARK CAPITAL MANAGEMENT CO IV LLC | Director,TenPercentOwner; TenPercentOwner | 3 | 2012–2013 | ||
| BENCHMARK CAPITAL PARTNERS IV LP | TenPercentOwner | 3 | 2012–2013 | ||
| BENCHMARK FOUNDERS FUND IV A LP | TenPercentOwner | 3 | 2012–2013 | ||
| BENCHMARK FOUNDERS FUND IV-B LP | TenPercentOwner | 3 | 2012–2013 | ||
| BENCHMARK FOUNDERS FUND IV LP | TenPercentOwner | 3 | 2012–2013 | ||
| Bettencourt Anthony J | Director | 12 | 2012–2016 | ||
| Chambers Charles Wade | Officer | EVP Engineering | 6 | 2012–2013 | |
| Cooper Tom | Officer | EVP Worldwide Field Operations | 2 | 2012–2013 | |
| DUNLEVIE BRUCE | TenPercentOwner | 3 | 2012–2013 | ||
| EVAN DANA L | Director | 37 | 2012–2021 | ||
| FEIBER JONATHAN D | Director; DirectorOther; Director,TenPercentOwner | 21 | 2012–2021 | ||
| GORDON MICHAEL B | TenPercentOwner | 3 | 2012–2013 | ||
| GURLEY J WILLIAM | TenPercentOwner | 3 | 2012–2013 | ||
| Hahn Eric | DirectorOther | 79 | 2012–2018 | ||
| HARVEY KEVIN | Director; Director,TenPercentOwner | 21 | 2012–2021 | ||
| KAGLE ROBERT | TenPercentOwner | 3 | 2012–2013 | ||
| Knight David | Officer | EVP&GM, Info Security Products; EVP/GM, Security Products; EVP/GM, Threat Sys Product Grp; EVP Product Mgmnt & Marketing | 118 | 2012–2021 | |
| KOEN PHILIP J | Director | 10 | 2012–2014 | person page Fuzzy | |
| MADERA PAUL S | TenPercentOwner | 3 | 2012–2013 | ||
| MCP ENTREPRENEUR PARTNERS II LP | TenPercentOwner | 3 | 2012–2013 | ||
| MDV VII LP | Director,TenPercentOwner; Other; TenPercentOwner | 7 | 2012–2014 | ||
| MERITECH CAPITAL AFFILIATES II LP | TenPercentOwner | 3 | 2012–2013 | ||
| Meritech Capital Associates II L.L.C. | TenPercentOwner | 3 | 2012–2013 | ||
| MERITECH CAPITAL PARTNERS II LP | TenPercentOwner | 3 | 2012–2013 | ||
| Meritech Management Associates II L.L.C. | TenPercentOwner | 3 | 2012–2013 | ||
| SPURLOCK STEVEN M | TenPercentOwner | 3 | 2012–2013 | ||
| Steele Gary | Director,Officer | Chairman and CEO; Chief Executive Officer | 126 | 2012–2021 | |
| Ward Rob | Director | 2 | 2012–2013 | ||
| SCHOENDORF NANCY J | Director,TenPercentOwner; Other; TenPercentOwner | 6 | 2012–2014 | ||
| Seventh MDV Partners, L.L.C. | Other; TenPercentOwner | 4 | 2012–2014 | ||
| GARN DOUGLAS F | Director | 11 | 2013–2017 | person page Fuzzy | |
| Newell Tracey | Officer | EVP, Worldwide Sales | 56 | 2013–2018 | |
| CAREY SYDNEY | Director | 2 | 2014 | ||
| Lee Robert Darren | Officer | EVP/GM Compliance/Digital Risk; SVP, GM Archiving & Governance | 54 | 2015–2021 | |
| Herren Richard Scott | Director | 9 | 2016–2020 | ||
| Swaroop Bhagwat | Officer | EVP & GM, Protection; EVP Indus. Solutions/Bus. Dev. | 35 | 2016–2020 | |
| WALLACE RICHARD P | Director | 8 | 2017–2021 | ||
| Johnson Michael M | Director | 10 | 2017–2021 | ||
| Gil Kristen | Director | 7 | 2017–2021 | ||
| Oestermann Klaus | Director,Officer | President, COO | 2 | 2018 | |
| Salle Blake P. | Officer | EVP, Worldwide Sales | 23 | 2018–2021 | |
| Leav Peter | Director | 2 | 2019 | ||
| Seka Leyla D. | Director | 5 | 2019–2021 | ||
| Willy Ashan | Officer | EVP/GM-Sec Prd & Svc Grp | 11 | 2020–2021 | |
| RAFAEL BETSY | Director | 4 | 2021 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | Proofpoint, Inc. | CA | State business registries | name and state |
| Business registration | Proofpoint, Inc. | CA | State business registries | name and state |
| Business registration | Proofpoint, Inc. | CA | State business registries | name and state |
| Business registration | PROOFPOINT, INC. | CA | State business registries | EIN (EXACT, as the state registration reports it) |
| Business registration | PROOFPOINT, INC. | CA | State business registries | name and state |
| Business registration | PROOFPOINT, INC. | CA | State business registries | name and state |
| Business registration | PROOFPOINT, INC. | CA | State business registries | name and state |
| Business registration | PROOFPOINT, INC. | CA | State business registries | name and state |
| Federal award recipient | PROOFPOINT, INC. | CA | Federal spending (USAspending) | name and state |
| Lobbying client | PROOFPOINT INC | CA | Federal lobbying (LDA) | name and state |
| Lobbying client | PROOFPOINT, INC. | CA | Federal lobbying (LDA) | name and state |
| Patent assignee | PROOFPOINT, INC. | CA | Patents (USPTO) | name and state |
| SEC filer | PROOFPOINT INC | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Proofpoint, Inc. | CA | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | PROOFPOINT, INC | EIN (EXACT) | ||
| Person page | Douglas F Garn | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Philip J Koen | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.