0001209191-21-004259.txt : 20210120
0001209191-21-004259.hdr.sgml : 20210120
20210120161041
ACCESSION NUMBER: 0001209191-21-004259
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210115
FILED AS OF DATE: 20210120
DATE AS OF CHANGE: 20210120
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Willy Ashan
CENTRAL INDEX KEY: 0001819243
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35506
FILM NUMBER: 21538865
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: 925 W. MAUDE AVENUE
CITY: SUNNYVALE
STATE: CA
ZIP: 94085
BUSINESS PHONE: 408-517-4710
MAIL ADDRESS:
STREET 1: 925 W. MAUDE AVENUE
CITY: SUNNYVALE
STATE: CA
ZIP: 94085
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-01-15
0
0001212458
PROOFPOINT INC
PFPT
0001819243
Willy Ashan
C/O PROOFPOINT, INC.
892 ROSS DRIVE
SUNNYVALE
CA
94089
0
1
0
0
EVP/GM-Sec Prd & Svc Grp
Common Stock
2021-01-15
4
M
0
1000
0.00
A
2966
D
Common Stock
2021-01-15
4
F
0
405
135.37
D
2561
D
Common Stock
2021-01-16
4
S
0
595
137.83
D
1966
D
Restricted Stock Units
0.00
2021-01-15
4
M
0
1000
0.00
D
Common Stock
1000
1000
D
Vesting of restricted stock units ("RSUs") granted to the Reporting Person on March 19, 2018.
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. These shares 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.
This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
1,000 RSUs vested on January 15, 2021 and the remaining 1,000 RSUs will vest on January 15, 2022. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
RSUs do not expire; they either vest or are canceled prior to vest date.
/s/ Ashan Willy, by Michael Yang, Attorney-in-Fact
2021-01-20