SEC Form 4 · accession 0001209191-17-039869
PROOFPOINT INC · PFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Harvey
Director
Period of report
Jun 12, 2017
Accepted (ET)
Jun 14, 2017 · 5:18 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 12, 2017 | A | 2,241 | $0.00 | A | 15,651 | D | |
| Common StockF2 | Jun 12, 2017 | A | 512 | $0.00 | A | 16,163 | 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 June 1, 2018. 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, 2017 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.