0001209191-21-037257.txt : 20210602 0001209191-21-037257.hdr.sgml : 20210602 20210602164855 ACCESSION NUMBER: 0001209191-21-037257 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210601 FILED AS OF DATE: 20210602 DATE AS OF CHANGE: 20210602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Auvil Paul R. III CENTRAL INDEX KEY: 0001410972 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 21989820 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 2021-06-01 0 0001212458 PROOFPOINT INC PFPT 0001410972 Auvil Paul R. III C/O PROOFPOINT, INC. 925 WEST MAUDE AVENUE SUNNYVALE CA 94085 0 1 0 0 Chief Financial Officer Common Stock 2021-06-01 4 M 0 12500 0.00 A 128261 D Common Stock 2021-06-01 4 F 0 6198 172.96 D 122063 D Common Stock 261918 I By family trust Restricted Stock Units 0.00 2021-06-01 4 M 0 12500 0.00 D Common Stock 12500 12500 D Vesting of restricted stock units ("RSUs") granted to the Reporting Person on June 8, 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. 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. 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 in equal annual installments beginning on June 1, 2019. 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 vesting date. /s/ Paul R. Auvil III, by Michael Yang, Attorney-in-Fact 2021-06-02