person · Reporting owner

Newell Tracey

Disclosed activity across 4 companies

Tapewire entity: 41035
SEC CIK: 0001527210

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
SailPoint, Inc.SAIL · Entity 3487	Director	June 04, 2026	June 05, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

SailPoint, Inc.

Report date June 04, 2026 · Filed June 05, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	50,384	Reported balance After 2026-06-04 transaction · row 1 1 source row Row 1 · 2026-06-04 · Grant · Acquired 14,224 · Balance 50,384
Common StockSEC Table I · non-derivative	IndirectBy Newell Enterprises LLC	18,283	Reported balance Holding disclosure · report date 2026-06-04 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 18,283 F1: The Reporting Person is a Manager of Newell Enterprises LLC (the "LLC") and may be deemed to beneficially own all of the shares held by the LLC; however, the Reporting Person disclaims beneficial ownership of the shares held by the LLC except to the extent of her pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person is a Manager of Newell Enterprises LLC (the "LLC") and may be deemed to beneficially own all of the shares held by the LLC; however, the Reporting Person disclaims beneficial ownership of the shares held by the LLC except to the extent of her pecuniary interest therein.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

PROOFPOINT INC

Report date June 01, 2018 · Filed June 05, 2018

Section 16 reporting ended · disclosed 2018-06-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	28,388	Ending reported balance After 2018-06-01 transaction · row 3 3 source rows · reconciled sequence Row 1 · 2018-06-01 · Exercise / conversion · Acquired 2,500 · Balance 28,368 F1: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. Row 2 · 2018-06-01 · Exercise / conversion · Acquired 2,500 · Balance 30,868 F1: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. Row 3 · 2018-06-01 · Tax withholding · Disposed 2,480 · Balance 28,388 F2: 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 federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs or PRSUs. 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.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	8,000	Reported balance After 2018-06-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-06-01 · Grant · Acquired 8,000 · Balance 8,000 F3: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4: Represents PRSUs earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	8,000	Reported balance After 2018-06-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-06-01 · Grant · Acquired 8,000 · Balance 8,000 F3: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4: Represents PRSUs earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	5,500	Reported balance After 2018-06-01 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2018-06-01 · Exercise / conversion · Disposed 2,500 · Balance 5,500 F3: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	5,500	Reported balance After 2018-06-01 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-06-01 · Exercise / conversion · Disposed 2,500 · Balance 5,500 F3: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

Filing footnotes · ownership attribution and instrument terms

F1: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria.

F2: 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 federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs or PRSUs. 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.

F3: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F4: Represents PRSUs earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria.

F5: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

Sailpoint Technologies Holdings, Inc.

Report date August 16, 2022 · Filed August 16, 2022

Section 16 reporting ended · disclosed 2022-08-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2022-08-16 transaction · row 1 1 source row Row 1 · 2022-08-16 · Disposition to issuer · Disposed 19,492 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated April 10, 2022 (the Merger Agreement), by and among SailPoint Technologies Holdings, Inc. (Issuer), SailPoint Intermediate Holdings III, LP (f/k/a Project Hotel California Holdings, LP) (Parent) and Project Hotel California Merger Sub, Inc. (Merger Sub), on August 16, 2022, Merger Sub merged with and into Issuer, with Issuer surviving the merger as a wholly-owned subsidiary of Parent (such merger and the other transactions contemplated by the Merger Agreement, the Merger). At the effective time of the Merger, each then outstanding share of Issuer common stock was cancelled and extinguished and automatically converted into the right to receive an amount in cash equal to $65.25, without interest thereon and less any applicable withholding taxes. F2: These shares include restricted stock units. At the Effective Time, each restricted stock unit award in respect of shares of Issuer common stock (RSU) that was outstanding as of immediately prior to the Effective Time and held by a non-employee member of the Board of Directors as of the Effective Time (Vested RSU) was automatically cancelled and converted into the right to receive an amount in cash, without interest, equal to $65.25 multiplied by the total number of shares of such Vested RSU, subject to any required withholding of taxes.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated April 10, 2022 (the Merger Agreement), by and among SailPoint Technologies Holdings, Inc. (Issuer), SailPoint Intermediate Holdings III, LP (f/k/a Project Hotel California Holdings, LP) (Parent) and Project Hotel California Merger Sub, Inc. (Merger Sub), on August 16, 2022, Merger Sub merged with and into Issuer, with Issuer surviving the merger as a wholly-owned subsidiary of Parent (such merger and the other transactions contemplated by the Merger Agreement, the Merger). At the effective time of the Merger, each then outstanding share of Issuer common stock was cancelled and extinguished and automatically converted into the right to receive an amount in cash equal to $65.25, without interest thereon and less any applicable withholding taxes.

F2: These shares include restricted stock units. At the Effective Time, each restricted stock unit award in respect of shares of Issuer common stock (RSU) that was outstanding as of immediately prior to the Effective Time and held by a non-employee member of the Board of Directors as of the Effective Time (Vested RSU) was automatically cancelled and converted into the right to receive an amount in cash, without interest, equal to $65.25 multiplied by the total number of shares of such Vested RSU, subject to any required withholding of taxes.

Sumo Logic, Inc.

Report date May 12, 2023 · Filed May 12, 2023

Section 16 reporting ended · disclosed 2023-05-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2023-05-12 transaction · row 1 1 source row Row 1 · 2023-05-12 · Disposition to issuer · Disposed 56,355 · Balance 0 F1: Certain of these shares are represented by previously reported restricted stock units ("RSUs"). At the effective time of the merger (the "Effective Time") each issued and outstanding RSU was cancelled and converted into the right to receive an amount equal to $12.05 in cash (the "Per Share Price"), subject to the terms set forth in the Merger Agreement. F2: Pursuant to the terms of the Company's Outside Director Compensation Policy and/or the applicable award agreement governing such RSU, at the Effective Time, each unvested RSU was accelerated and converted into the right to receive an amount in cash equal to the Per Share Price. F3: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement") between Serrano Parent, Serrano Merger Sub, Inc., and Sumo Logic (the "Company"), each issued and outstanding share of the Company's common stock was cancelled and converted into the right to receive an amount in cash equal to the Per Share Price.

Filing footnotes · ownership attribution and instrument terms

F1: Certain of these shares are represented by previously reported restricted stock units ("RSUs"). At the effective time of the merger (the "Effective Time") each issued and outstanding RSU was cancelled and converted into the right to receive an amount equal to $12.05 in cash (the "Per Share Price"), subject to the terms set forth in the Merger Agreement.

F2: Pursuant to the terms of the Company's Outside Director Compensation Policy and/or the applicable award agreement governing such RSU, at the Effective Time, each unvested RSU was accelerated and converted into the right to receive an amount in cash equal to the Per Share Price.

F3: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement") between Serrano Parent, Serrano Merger Sub, Inc., and Sumo Logic (the "Company"), each issued and outstanding share of the Company's common stock was cancelled and converted into the right to receive an amount in cash equal to the Per Share Price.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 04, 2026 Filed Jun 5, 2026 21:37 UTC	SailPoint, Inc. SAIL · Entity 3487	GrantCommon Stock	14,224	$0.00	$0.00	Disclosure SEC source: 0001527210-26-000002 · wk-form4_1780695477.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,384 Read SEC document
February 27, 2025 Filed Mar 4, 2025 02:04 UTC	SailPoint, Inc. SAIL · Entity 3487	GrantCommon Stock	23,188	$0.00	$0.00	Disclosure SEC source: 0001213900-25-019666 · ownership.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,160 Read SEC document
May 12, 2023 Filed May 12, 2023 16:12 UTC	Sumo Logic, Inc. SUMO · Entity 113560	Disposition to issuerCommon Stock	56,355	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-23-029015 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Certain of these shares are represented by previously reported restricted stock units ("RSUs"). At the effective time of the merger (the "Effective Time") each issued and outstanding RSU was cancelled and converted into the right to receive an amount equal to $12.05 in cash (the "Per Share Price"), subject to the terms set forth in the Merger Agreement. F2 · shares: Pursuant to the terms of the Company's Outside Director Compensation Policy and/or the applicable award agreement governing such RSU, at the Effective Time, each unvested RSU was accelerated and converted into the right to receive an amount in cash equal to the Per Share Price. F3 · price: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement") between Serrano Parent, Serrano Merger Sub, Inc., and Sumo Logic (the "Company"), each issued and outstanding share of the Company's common stock was cancelled and converted into the right to receive an amount in cash equal to the Per Share Price. Read SEC document
August 16, 2022 Filed Aug 16, 2022 17:31 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	Disposition to issuerCommon Stock	19,492	$0.00	$0.00	Disclosure SEC source: 0001627857-22-000088 · wf-form4_166068549910642.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger, dated April 10, 2022 (the Merger Agreement), by and among SailPoint Technologies Holdings, Inc. (Issuer), SailPoint Intermediate Holdings III, LP (f/k/a Project Hotel California Holdings, LP) (Parent) and Project Hotel California Merger Sub, Inc. (Merger Sub), on August 16, 2022, Merger Sub merged with and into Issuer, with Issuer surviving the merger as a wholly-owned subsidiary of Parent (such merger and the other transactions contemplated by the Merger Agreement, the Merger). At the effective time of the Merger, each then outstanding share of Issuer common stock was cancelled and extinguished and automatically converted into the right to receive an amount in cash equal to $65.25, without interest thereon and less any applicable withholding taxes. F2 · shares: These shares include restricted stock units. At the Effective Time, each restricted stock unit award in respect of shares of Issuer common stock (RSU) that was outstanding as of immediately prior to the Effective Time and held by a non-employee member of the Board of Directors as of the Effective Time (Vested RSU) was automatically cancelled and converted into the right to receive an amount in cash, without interest, equal to $65.25 multiplied by the total number of shares of such Vested RSU, subject to any required withholding of taxes. F1 · price: Pursuant to the Agreement and Plan of Merger, dated April 10, 2022 (the Merger Agreement), by and among SailPoint Technologies Holdings, Inc. (Issuer), SailPoint Intermediate Holdings III, LP (f/k/a Project Hotel California Holdings, LP) (Parent) and Project Hotel California Merger Sub, Inc. (Merger Sub), on August 16, 2022, Merger Sub merged with and into Issuer, with Issuer surviving the merger as a wholly-owned subsidiary of Parent (such merger and the other transactions contemplated by the Merger Agreement, the Merger). At the effective time of the Merger, each then outstanding share of Issuer common stock was cancelled and extinguished and automatically converted into the right to receive an amount in cash equal to $65.25, without interest thereon and less any applicable withholding taxes. F2 · price: These shares include restricted stock units. At the Effective Time, each restricted stock unit award in respect of shares of Issuer common stock (RSU) that was outstanding as of immediately prior to the Effective Time and held by a non-employee member of the Board of Directors as of the Effective Time (Vested RSU) was automatically cancelled and converted into the right to receive an amount in cash, without interest, equal to $65.25 multiplied by the total number of shares of such Vested RSU, subject to any required withholding of taxes. Read SEC document
July 21, 2022 Filed Jul 22, 2022 16:26 UTC	Sumo Logic, Inc. SUMO · Entity 113560	GrantCommon Stock	29,988	$0.00	$0.00	Disclosure SEC source: 0001209191-22-042998 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,355 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of the one-year anniversary of the grant date, or the day prior to the Issuer's next Annual Meeting of Stockholders, subject to the Reporting Person's continued role as a service provider to the Issuer through the applicable vesting date. F2 · balance_after: Certain of these shares are represented by previously reported RSUs. Each RSU represents the Reporting Person's right to receive one share of Common Stock of the Issuer subject to the applicable vesting schedule and the Reporting Person's continued role as a service provider to the Issuer. Read SEC document
April 28, 2022 Filed May 2, 2022 17:43 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	GrantCommon Stock	3,220	$0.00	$0.00	Disclosure SEC source: 0001627857-22-000053 · wf-form4_165152779236734.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,492 F1 · shares: Granted as annual award of restricted stock units for our non-employee directors. Read SEC document
March 01, 2022 Filed Mar 2, 2022 17:59 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	SaleCommon Stock	1,750	$44.51	$77,893.20	Disclosure SEC source: 0001627857-22-000042 · wf-form4_164626193188062.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,272 F1 · price: On March 1, 2022, pursuant to a plan of disposition adopted on May 20, 2021 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "10b5-1 Plan"), Ms. Newell sold 1,750 shares in multiple trades at prices ranging from $44.48 to $44.575 per share. The price reported above reflects the weighted average sale price. Ms. Newell hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 7,008 shares may be sold in the aggregate under the 10b5-1 Plan, which terminates no later than June 30, 2022, regardless of whether the maximum of 7,008 shares in the aggregate have been sold. Read SEC document
December 01, 2021 Filed Dec 3, 2021 16:53 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	SaleCommon Stock	1,750	$52.48	$91,833.18	Disclosure SEC source: 0001627857-21-000132 · wf-form4_163856840023778.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,022 F1 · price: On December 1, 2021, pursuant to a plan of disposition adopted on May 20, 2021 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "10b5-1 Plan"), Ms. Newell sold 1,750 shares in multiple trades at prices ranging from $52.445 to $52.705 per share. The price reported above reflects the weighted average sale price. Ms. Newell hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 7,008 shares may be sold in the aggregate under the 10b5-1 Plan, which terminates no later than June 30, 2022, regardless of whether the maximum of 7,008 shares in the aggregate have been sold. Read SEC document
September 01, 2021 Filed Sep 3, 2021 17:09 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	SaleCommon Stock	1,750	$46.87	$82,019.70	Disclosure SEC source: 0001627857-21-000075 · wf-form4_163070334121085.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,772 F1 · shares: On September 1, 2021, pursuant to a plan of disposition adopted on May 20, 2021 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "10b5-1 Plan"), Ms. Newell sold 1,750 shares in multiple trades at prices ranging from $46.73 to $47.12 per share. The price reported above reflects the weighted average sale price. Ms. Newell hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 7,008 shares may be sold in the aggregate under the 10b5-1 Plan, which terminates no later than June 30, 2022, regardless of whether the maximum of 7,008 shares in the aggregate have been sold. Read SEC document
July 06, 2021 Filed Jul 7, 2021 18:04 UTC	Sumo Logic, Inc. SUMO · Entity 113560	GrantCommon Stock	11,345	$0.00	$0.00	Disclosure SEC source: 0001209191-21-045900 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,367 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of the one-year anniversary of the grant date, or the day prior to the Issuer's next Annual Meeting of Stockholders, subject to the Reporting Person's continued role as a service provider to the Issuer through the applicable vesting date. F2 · balance_after: Certain of these shares are represented by previously reported RSUs. Each RSU represents the Reporting Person's right to receive one share of Common Stock of the Issuer subject to the applicable vesting schedule and the Reporting Person's continued role as a service provider to the Issuer. Read SEC document
April 29, 2021 Filed May 3, 2021 17:25 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	GrantCommon Stock	3,566	$0.00	$0.00	Disclosure SEC source: 0001209191-21-029548 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,522 F1 · shares: Granted as annual award of restricted stock units for our non-employee directors. Read SEC document
December 04, 2020 Filed Dec 8, 2020 16:40 UTC	Sumo Logic, Inc. SUMO · Entity 113560	GrantCommon Stock	15,022	$0.00	$0.00	Disclosure SEC source: 0000899243-20-033017 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,022 F1 · shares: Reflects shares that the Reporting Person will receive upon the settlement of restricted stock units ("RSUs"), which will vest as to 1/3rd of the RSUs on December 15, 2021, and as to 1/3rd of the RSUs on each annual anniversary thereafter. Read SEC document
May 05, 2020 Filed May 7, 2020 16:37 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	GrantCommon Stock	10,948	$0.00	$0.00	Disclosure SEC source: 0001209191-20-027708 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,956 F1 · shares: Granted as annual award of restricted stock units for our non-employee directors. Read SEC document
May 06, 2019 Filed May 16, 2019 17:06 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	GrantCommon Stock	6,051	$0.00	$0.00	Disclosure SEC source: 0001209191-19-030468 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 F1 · shares: Granted as annual award of restricted stock units for our non-employee directors. Read SEC document
March 27, 2019 Filed Mar 29, 2019 16:49 UTC	Sailpoint Technologies Holdings, Inc. SAIL · Entity 124531	GrantCommon Stock	957	$0.00	$0.00	Disclosure SEC source: 0001209191-19-021780 · doc4.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 957 Read SEC document
June 01, 2018 Filed Jun 5, 2018 17:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	2,500	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-027396 · doc1.xml · derivative · entry 7 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,500 Underlying: Common Stock · 2,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
June 01, 2018 Filed Jun 5, 2018 17:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	2,500	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-027396 · doc1.xml · derivative · entry 6 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,500 Underlying: Common Stock · 2,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
June 01, 2018 Filed Jun 5, 2018 17:15 UTC	PROOFPOINT INC PFPT · Entity 135877	GrantRestricted Stock Units · Derivative	8,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-027396 · doc1.xml · derivative · entry 5 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires not disclosed F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4 · shares: Represents PRSUs earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
June 01, 2018 Filed Jun 5, 2018 17:15 UTC	PROOFPOINT INC PFPT · Entity 135877	GrantRestricted Stock Units · Derivative	8,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-027396 · doc1.xml · derivative · entry 4 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires not disclosed F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4 · shares: Represents PRSUs earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on June 1, 2018; 3/16th of the total number of shares on February 2, 2019; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on February 2, 2020. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
June 01, 2018 Filed Jun 5, 2018 17:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Tax withholdingCommon Stock	2,480	$120.57	$299,013.60	Disclosure SEC source: 0001140361-18-027396 · doc1.xml · nonDerivative · entry 3 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,388 F2 · kind: 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 federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs or PRSUs. 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. Read SEC document
June 01, 2018 Filed Jun 5, 2018 17:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	2,500	$0.00	$0.00	Disclosure SEC source: 0001140361-18-027396 · doc1.xml · nonDerivative · entry 2 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,868 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. Read SEC document
June 01, 2018 Filed Jun 5, 2018 17:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	2,500	$0.00	$0.00	Disclosure SEC source: 0001140361-18-027396 · doc1.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,368 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of performance-based RSUs ("PRSUs") earned by the Reporting Person on June 1, 2018 as a result of the Reporting Person having met certain performance criteria. Read SEC document
March 29, 2018 Filed Apr 2, 2018 19:16 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	750	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-016549 · doc1.xml · derivative · entry 4 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. F4 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F4 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
March 29, 2018 Filed Apr 2, 2018 19:16 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	750	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-016549 · doc1.xml · derivative · entry 3 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. F4 · derivative.exercise_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F4 · derivative.expiration_date: The RSUs vest as to 5/16th of the total number of shares on May 1, 2017; 3/16th of the total number of shares on March 29, 2018; and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 29, 2019. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
March 29, 2018 Filed Apr 2, 2018 19:16 UTC	PROOFPOINT INC PFPT · Entity 135877	Tax withholdingCommon Stock	744	$113.65	$84,555.60	Disclosure SEC source: 0001140361-18-016549 · doc1.xml · nonDerivative · entry 2 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,868 F2 · kind: 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 federal and state 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. Read SEC document
March 29, 2018 Filed Apr 2, 2018 19:16 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	1,500	$0.00	$0.00	Disclosure SEC source: 0001140361-18-016549 · doc1.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,612 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. Read SEC document
March 24, 2018 Filed Mar 27, 2018 21:34 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	1,750	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-015307 · doc1.xml · derivative · entry 5 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,750 Underlying: Common Stock · 1,750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2 · kind: Vesting of RSUs earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. F6 · derivative.exercise_date: The RSUs vest as to 1/2 of the total number of shares on May 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2018. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F6 · derivative.expiration_date: The RSUs vest as to 1/2 of the total number of shares on May 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2018. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
March 24, 2018 Filed Mar 27, 2018 21:34 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	1,750	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-015307 · doc1.xml · derivative · entry 4 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,750 Underlying: Common Stock · 1,750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on June 21, 2016 as a result of the Reporting Person having met certain performance criteria. F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on June 21, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2017. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F5 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on June 21, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments beginning on March 24, 2017. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
March 24, 2018 Filed Mar 27, 2018 21:34 UTC	PROOFPOINT INC PFPT · Entity 135877	Tax withholdingCommon Stock	1,736	$115.75	$200,942.00	Disclosure SEC source: 0001140361-18-015307 · doc1.xml · nonDerivative · entry 3 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,112 F3 · kind: 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 federal and state 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. Read SEC document
March 24, 2018 Filed Mar 27, 2018 21:34 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	1,750	$0.00	$0.00	Disclosure SEC source: 0001140361-18-015307 · doc1.xml · nonDerivative · entry 2 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,848 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Vesting of RSUs earned by the Reporting Person on May 1, 2017 as a result of the Reporting Person having met certain performance criteria. Read SEC document
March 24, 2018 Filed Mar 27, 2018 21:34 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	1,750	$0.00	$0.00	Disclosure SEC source: 0001140361-18-015307 · doc1.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,098 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of restricted stock units ("RSUs") earned by the Reporting Person on June 21, 2016 as a result of the Reporting Person having met certain performance criteria. Read SEC document
March 19, 2018 Filed Mar 21, 2018 19:40 UTC	PROOFPOINT INC PFPT · Entity 135877	GrantRestricted Stock Units · Derivative	16,600	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-014532 · doc1.xml · derivative · entry 1 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,600 Underlying: Common Stock · 16,600 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: The RSUs will vest as to 1/4th of the total number of shares on February 1, 2019 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F2 · derivative.expiration_date: The RSUs will vest as to 1/4th of the total number of shares on February 1, 2019 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative	6,375	$0.00 Strike: $50.93	$0.00	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · derivative · entry 9 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 6,375 shares Expires 2026-04-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. F8 · derivative.exercise_date: The stock option vests as to 1/4th of the total number of shares on February 1, 2017 and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative	437	$0.00 Strike: $57.49	$0.00	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · derivative · entry 8 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,250 Underlying: Common Stock · 437 shares Expires 2025-04-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. F7 · derivative.exercise_date: The stock option vests as to 1/4th of the total number of shares on February 1, 2016 and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionNon-qualified Stock Option (right to buy) · Derivative	1,375	$0.00 Strike: $36.00	$0.00	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · derivative · entry 7 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,375 shares Expires 2024-03-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. F6 · derivative.exercise_date: The stock option vests as to 1/4th of the total number of shares on February 1, 2015 and thereafter shall vest as to 1/48th of the total number of shares in equal monthly installments. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	SaleCommon Stock	2,900	$107.05	$310,443.55	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · nonDerivative · entry 6 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,348 F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F5 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $106.69 to $107.55 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	SaleCommon Stock	4,600	$106.07	$487,904.52	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · nonDerivative · entry 5 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,248 F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $105.65 to $106.60 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	SaleCommon Stock	687	$105.32	$72,353.53	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · nonDerivative · entry 4 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,848 F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. F2 · shares: Represents the aggregate of sales effected on the same day at different prices. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $104.65 to $105.64 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	6,375	$50.93	$324,678.75	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · nonDerivative · entry 3 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,535 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	437	$57.49	$25,123.13	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · nonDerivative · entry 2 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,160 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. Read SEC document
February 20, 2018 Filed Feb 22, 2018 17:00 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	1,375	$36.00	$49,500.00	Disclosure SEC source: 0001140361-18-009647 · doc1.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,723 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on March 9, 2017. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	4,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · derivative · entry 9 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 4,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F4 · kind: Vesting of RSUs granted to the Reporting Person on February 2, 2017. F10 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2018 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F10 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2018 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	2,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · derivative · entry 8 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 2,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F3 · kind: Vesting of RSUs granted to the Reporting Person on March 29, 2016. F9 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F9 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2017 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	2,750	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · derivative · entry 7 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Underlying: Common Stock · 2,750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2 · kind: Vesting of RSUs granted to the Reporting Person on March 24, 2015. F8 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F8 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2016 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionRestricted Stock Units · Derivative	3,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · derivative · entry 6 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F1 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on March 17, 2014. F7 · derivative.exercise_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2015 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. F7 · derivative.expiration_date: The RSUs vest as to 1/4th of the total number of shares on February 1, 2015 and thereafter will vest as to 1/4th of the total number of shares in equal annual installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Tax withholdingCommon Stock	5,220	$102.02	$532,544.40	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · nonDerivative · entry 5 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,348 F5 · kind: 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 federal and state 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. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	4,000	$0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · nonDerivative · entry 4 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,568 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: Vesting of RSUs granted to the Reporting Person on February 2, 2017. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	2,000	$0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · nonDerivative · entry 3 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,568 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: Vesting of RSUs granted to the Reporting Person on March 29, 2016. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	2,750	$0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · nonDerivative · entry 2 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,568 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Vesting of RSUs granted to the Reporting Person on March 24, 2015. Read SEC document
February 01, 2018 Filed Feb 5, 2018 16:15 UTC	PROOFPOINT INC PFPT · Entity 135877	Exercise / conversionCommon Stock	3,000	$0.00	$0.00	Disclosure SEC source: 0001140361-18-005067 · doc1.xml · nonDerivative · entry 1 Newell Tracey · CIK 0001527210 · EVP, Worldwide Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,818 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on March 17, 2014. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.