0001209191-20-055880.txt : 20201026 0001209191-20-055880.hdr.sgml : 20201026 20201026211223 ACCESSION NUMBER: 0001209191-20-055880 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201025 FILED AS OF DATE: 20201026 DATE AS OF CHANGE: 20201026 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: 201261880 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-10-25 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 2020-10-25 4 M 0 2500 0.00 A 2711 D Common Stock 2020-10-25 4 F 0 865 107.48 D 1846 D Restricted Stock Units 0.00 2020-10-20 4 M 0 2500 0.00 D Common Stock 2500 5000 D Vesting of restricted stock units ("RSUs") granted to the Reporting Person on October 29, 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. Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. The RSUs vest annually as to 1/4th of the total RSUs in equal installments, with the first 1/4th vested on October 25, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Restricted stock units do not expire; they either vest or are canceled prior to vest date. /s/ Ashan Willy, by Michael Yang, Attorney-in-Fact 2020-10-26