0001209191-20-021892.txt : 20200331 0001209191-20-021892.hdr.sgml : 20200331 20200331180244 ACCESSION NUMBER: 0001209191-20-021892 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200329 FILED AS OF DATE: 20200331 DATE AS OF CHANGE: 20200331 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: 20763110 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 2020-03-29 0 0001212458 PROOFPOINT INC PFPT 0001410972 Auvil Paul R. III C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 0 1 0 0 Chief Financial Officer Common Stock 2020-03-29 4 M 0 4000 0.00 A 98831 D Common Stock 2020-03-29 4 F 0 1984 104.97 D 96847 D Common Stock 361398 I By family trust Restricted Stock Units 0.00 2020-03-29 4 M 0 2000 0.00 D Common Stock 2000 0 D Restricted Stock Units 0.00 2020-03-29 4 M 0 2000 0.00 D Common Stock 2000 0 D Vesting of restricted stock units ("RSUs") earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. 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 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. /s/ Paul R. Auvil III, by Michael Yang, Attorney-in-Fact 2020-03-31