SEC Form 4 · accession 0001140361-16-071650
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Harvey
Director
Period of report
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 6:11 pm EDT
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 StockF1 | Jun 30, 2016 | A | 3,051 | $0.00 | A | 12,822 | D | |
| Common StockF2 | Jun 30, 2016 | A | 588 | $0.00 | A | 13,410 | D | |
| Common StockF3 | holding | — | — | — | 234,464 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents an award of restricted stock units ("RSUs"). 100% of the RSUs will vest on May 26, 2017. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.
- F2Represents an award of RSUs. The RSUs vest as to 1/4th of the total number of shares on June 30, 2016 and an additional 1/4th of the total number of shares on each quarterly anniversary thereafter. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.
- F3Shares are owned directly by Kevin R. Harvey's family trust.