0001209191-20-023671.txt : 20200406 0001209191-20-023671.hdr.sgml : 20200406 20200406195444 ACCESSION NUMBER: 0001209191-20-023671 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200403 FILED AS OF DATE: 20200406 DATE AS OF CHANGE: 20200406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Salle Blake P. CENTRAL INDEX KEY: 0001757191 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35506 FILM NUMBER: 20778127 MAIL ADDRESS: STREET 1: C/O PROOFPOINT, INC. STREET 2: 892 ROSS DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 FORMER NAME: FORMER CONFORMED NAME: Salle Blake R. DATE OF NAME CHANGE: 20181025 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 2020-04-03 0 0001212458 PROOFPOINT INC PFPT 0001757191 Salle Blake P. C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE CA 94089 0 1 0 0 EVP, Worldwide Sales Common Stock 2020-04-03 4 M 0 5000 0.00 A 8814 D Common Stock 2020-04-03 4 F 0 1218 97.89 D 7596 D Restricted Stock Units 0.00 2020-04-03 4 M 0 5000 0.00 D Common Stock 5000 5000 D Vesting of restricted stock units ("RSUs") granted to the Reporting Person on May 17, 2017. 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 restricted stock unit 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. The first 1/4th of the RSUs vested on April 3, 2018. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. /s/ Blake P. Salle, by Michael Yang, Attorney-in-Fact 2020-04-06