0001140361-18-015305.txt : 20180327
0001140361-18-015305.hdr.sgml : 20180327
20180327213048
ACCESSION NUMBER: 0001140361-18-015305
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180324
FILED AS OF DATE: 20180327
DATE AS OF CHANGE: 20180327
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Knight David
CENTRAL INDEX KEY: 0001547394
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 18716905
MAIL ADDRESS:
STREET 1: C/O PROOFPOINT, INC.
STREET 2: 892 ROSS DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PROOFPOINT INC
CENTRAL INDEX KEY: 0001212458
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374]
IRS NUMBER: 510414846
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 892 ROSS DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
BUSINESS PHONE: 408-517-4710
MAIL ADDRESS:
STREET 1: 892 ROSS DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
4
1
doc1.xml
FORM 4
X0306
4
2018-03-24
0
0001212458
PROOFPOINT INC
PFPT
0001547394
Knight David
C/O PROOFPOINT, INC.
892 ROSS DRIVE
SUNNYVALE
CA
94089
0
1
0
0
EVP/GM, Threat Sys Product Grp
Common Stock
2018-03-24
4
M
0
1250
0
A
20523
D
Common Stock
2018-03-24
4
M
0
1250
0
A
21773
D
Common Stock
2018-03-24
4
F
0
1167
115.75
D
20606
D
Restricted Stock Units
0
2018-03-24
4
M
0
1250
0
D
Common Stock
1250
1250
D
Restricted Stock Units
0
2018-03-24
4
M
0
1250
0
D
Common Stock
1250
1250
D
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.
Vesting of RSUs earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria.
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.
Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
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.
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.
/s/ David Knight By Michael Yang, Attorney-In-Fact
2018-03-27