Filing Details
- Accession Number:
- 0001354488-16-008547
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-17 17:03:58
- Reporting Period:
- 2016-11-15
- Filing Date:
- 2016-11-17
- Accepted Time:
- 2016-11-17 17:03:58
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 857005 | Ptc Inc. | PTC | Services-Prepackaged Software (7372) | 042866152 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1252191 | C Aaron Staats Von | 140 Kendrick Street Needham MA 02494 | Cvp, Gc And Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-11-15 | 33,116 | $0.00 | 61,443 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-15 | 13,540 | $47.53 | 47,903 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-11-15 | 2,875 | $47.48 | 45,028 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-16 | 10,713 | $47.45 | 34,315 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2016-11-15 | 10,364 | $0.00 | 10,364 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2016-11-15 | 3,012 | $0.00 | 3,012 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-15 | 3,012 | $0.00 | 3,018 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-15 | 4,496 | $0.00 | 4,496 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2016-11-15 | 9,598 | $0.00 | 9,598 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-15 | 9,598 | $0.00 | 9,598 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-15 | 5,646 | $0.00 | 5,646 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 3,012 | No | 4 | A | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 4,495 | No | 4 | M | Direct | ||
| 9,598 | No | 4 | A | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 11,292 | No | 4 | M | Direct |
Footnotes
- Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 33,116 shares of the Reporting Person's restricted stock unit awards on November 15, 2016.
- Shares sold pursuant to a pre-established 10b5-1(c ) trading plan.
- This transaction was executed in multiple trades at prices ranging from $47.12 to $47.72. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $47.20 to $47.69. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock.
- RSUs awarded on November 11, 2013 that vested in three substantially equal annual installments on November 15, 2014, 2015 and 2016.
- Performance-based restricted stock units awarded on November 10, 2014 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2015, September 30, 2016 and September 30, 2017. The performance measure for the first period was not met and no RSUs were earned. The performance measure for the second performance period was met at 67% and 3,012 RSUs were earned.
- Performance-based restricted stock units awarded on November 10, 2014 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2015, September 30, 2016 and September 30, 2017. The performance measure for the first period was not met and no RSUs were earned. The performance measure for the second performance period was met at 67% and 3,012 RSUs vested.
- RSUs awarded on November 10, 2014 that vest in three substantially equal installments on November 15, 2015, 2016 and 2017.
- Performance-based restricted stock units awarded on November 2, 2015 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2016, September 30, 2017 and September 30, 2018. The performance measure for the first period was met at 170% and 9,598 RSUs were earned.
- Performance-based restricted stock units awarded on November 2, 2015 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2016, September 30, 2017 and September 30, 2018. The performance measure for the first period was met at 170% and 9,598 RSUs vested.
- RSUs awarded on November 2, 2015 that vest in three substantially equal installments on November 15, 2016, 2017 and 2018.
- This amount represents the total number of derivative securities beneficially owned of the class shown.
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