0001209191-18-043387.txt : 20180719 0001209191-18-043387.hdr.sgml : 20180719 20180719174023 ACCESSION NUMBER: 0001209191-18-043387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180716 FILED AS OF DATE: 20180719 DATE AS OF CHANGE: 20180719 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARVEY KEVIN CENTRAL INDEX KEY: 0001190213 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 18961114 MAIL ADDRESS: STREET 1: 2480 SAND HILL ROAD STREET 2: SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROOFPOINT INC CENTRAL INDEX KEY: 0001212458 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 510414846 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 408-517-4710 MAIL ADDRESS: STREET 1: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-07-16 0 0001212458 PROOFPOINT INC PFPT 0001190213 HARVEY KEVIN 2965 WOODSIDE ROAD WOODSIDE CA 94062 1 0 0 0 Common Stock 2018-07-16 4 A 0 1687 0.00 A 17850 D Common Stock 2018-07-16 4 A 0 301 0.00 A 18151 D Common Stock 234464 I See footnote Represents an award of restricted stock units ("RSUs"). 100% of the RSUs will vest on May 30, 2019. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Represents an award of RSUs. The RSUs vest as to 1/4th of the total number of shares on July 16, 2018 and an additional 1/4th of the total number of shares will vest on each of September 30, 2018, December 31, 2018 and March 31, 2019. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Shares are owned directly by Kevin R. Harvey's family trust. /s/ Steven M. Spurlock, by power of attorney for Kevin R. Harvey 2018-07-19