0001209191-20-020931.txt : 20200324 0001209191-20-020931.hdr.sgml : 20200324 20200324161951 ACCESSION NUMBER: 0001209191-20-020931 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200320 FILED AS OF DATE: 20200324 DATE AS OF CHANGE: 20200324 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Swaroop Bhagwat CENTRAL INDEX KEY: 0001678830 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 20738604 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 2020-03-20 0 0001212458 PROOFPOINT INC PFPT 0001678830 Swaroop Bhagwat C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 0 1 0 0 EVP Indus. Solutions/Bus. Dev. Restricted Stock Units 0.00 2020-03-20 4 A 0 4000 0.00 A Common Stock 4000 4000 D Each restricted stock unit ("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 award in equal annual installments, with the first 1/4th vesting on February 1, 2021. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting. /s/ Bhagwat Swaroop, by Michael Yang, Attorney-in-Fact 2020-03-24