SEC Form 4 · accession 0001140361-15-003193
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Bettencourt
Director
Period of report
Jun 30, 2014
Accepted (ET)
Jan 29, 2015 · 8:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001212458
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 30, 2014 | M | 284 | $0.00 | A | 284 | D | |
| Common Stock | Sep 30, 2014 | M | 284 | $0.00 | A | 568 | D | |
| Common Stock | Dec 31, 2014 | M | 284 | $0.00 | A | 852 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | $0.00 | Jun 30, 2014 | M | 284 | D | — | — | Common Stock | 284 | 851 | D |
| Restricted Stock UnitsF2,F3 | $0.00 | Sep 30, 2014 | M | 284 | D | — | — | Common Stock | 284 | 567 | D |
| Restricted Stock UnitsF2,F3 | $0.00 | Dec 31, 2014 | M | 284 | D | — | — | Common Stock | 284 | 283 | D |
Explanation of responses
- F1Vesting of restricted stock units ("RSUs") granted to the Reporting Person on June 9, 2014.
- F2Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- F3The RSUs vest quarterly as to 1/4th of the total RSUs in equal installments, with the first 1/4th vesting on June 30, 2014. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.