0001567619-20-002105.txt : 20200204 0001567619-20-002105.hdr.sgml : 20200204 20200204162736 ACCESSION NUMBER: 0001567619-20-002105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200201 FILED AS OF DATE: 20200204 DATE AS OF CHANGE: 20200204 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: 20574101 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 doc1.xml FORM 4 X0306 4 2020-02-01 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 2020-02-01 4 M 0 2250 0.00 A 4362 D Common Stock 2020-02-01 4 F 0 548 122.81 D 3814 D Restricted Stock Units 0.00 2020-02-01 4 M 0 2250 0.00 D Common Stock 2250 6750 D Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person. 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 tax withholding obligations of the Reporting Person resulting from the vesting of RSUs. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes. Each RSU represents a contingent right to receive one 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 vesting on February 1, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. /s/ Blake Salle by Stephen Chen, Attorney-in-Fact 2020-02-04