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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 (1) | 10/25/2018 | A | 30,000 | (2) | (2) | Common Stock | 30,000 | $ 0 | 30,000 | D | ||||
Restricted Stock Units | $ 0 (1) | 10/29/2018 | A | 4,000 | (3) | (3) | Common Stock | 4,000 | $ 0 | 4,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Salle Blake P. C/O PROOFPOINT, INC. 892 ROSS DRIVE SUNNYVALE, CA 94089 |
EVP, Worldwide Sales |
/s/ Blake Salle by Michael Yang, Attorney-in-Fact | 10/29/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. |
(2) | The RSUs vest annually as to 1/4th of the total RSUs in equal installments, with the first 1/4th vesting on October 25, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. |
(3) | The RSUs vest annually as to 1/4th of the total RSUs in equal installments, with the first 1/4th vesting on July 1, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. |