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