Filing Details
- Accession Number:
- 0001654954-17-010870
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-17 16:19:09
- Reporting Period:
- 2017-11-15
- Accepted Time:
- 2017-11-17 16:19:09
- 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 |
|---|---|---|---|---|---|---|---|
| 1186555 | E James Heppelmann | 140 Kendrick Street Needham MA 02494 | President And Ceo | No | No | 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 | 2017-11-15 | 238,927 | $0.00 | 799,949 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-15 | 112,420 | $63.92 | 687,529 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-11-16 | 10,700 | $64.36 | 676,829 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-11-16 | 14,300 | $64.75 | 662,529 | 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 | 2017-11-15 | 21,355 | $0.00 | 21,355 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-11-15 | 49,759 | $0.00 | 49,759 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-11-15 | 49,759 | $0.00 | 49,759 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-11-15 | 26,502 | $0.00 | 26,502 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-11-15 | 48,845 | $0.00 | 48,845 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-11-15 | 48,845 | $0.00 | 48,845 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-11-15 | 26,349 | $0.00 | 26,349 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-11-15 | 77,781 | $0.00 | 77,781 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-11-15 | 25,927 | $0.00 | 25,927 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-11-15 | 40,190 | $0.00 | 40,190 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-11-15 | 40,190 | $0.00 | 40,190 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-11-15 | 64,142 | $0.00 | 64,142 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 49,759 | No | 4 | A | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 26,502 | No | 4 | M | Direct | ||
| 48,845 | No | 4 | A | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 52,698 | No | 4 | M | Direct | ||
| 77,781 | No | 4 | A | Direct | ||
| 51,854 | No | 4 | M | Direct | ||
| 40,190 | No | 4 | A | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 64,142 | No | 4 | A | Direct |
Footnotes
- Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 238,927 shares of the Reporting Person's restricted stock unit awards on November 15, 2017.
- Shares sold pursuant to a pre-established 10b5-1(c ) trading plan.
- This transaction was executed in multiple trades at prices ranging from $63.56 to $64.545. 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 $64.56 to $64.915. 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 10, 2014 that vested in three substantially equal annual installments on November 15, 2015, 2016 and 2017.
- Performance-based RSUs granted on November 10, 2014 that could be earned only to the extent the established performance criteria were met for the performance period ended September 30, 2017. The performance measure was met at 100% and 49,759 RSUs were earned and vested.
- RSUs granted on November 2, 2015 that vest in three substantially equal installments on November 15, 2016, 2017 and 2018.
- Performance-based RSUs granted on November 2, 2015 that could be earned only to the extent the established performance criteria were met for the performance period ended September 30, 2017. The performance measure was met at 184.31% and 48,845 RSUs were earned and vested.
- RSUs granted on October 31, 2016 that vest in three substantially equal installments on November 15, 2017, 2018 and 2019.
- Aspirational performance-based RSUs granted on October 31, 2016. The performance measure was met at 49.2% and 77,781 RSUs were earned. The RSUs earned vest in three substantially equal installments on November 15, 2017, 2018 and 2019.
- Performance-based RSUs granted on October 31, 2016 that could be earned only to the extent the established performance criteria were met for the performance period ended September 30, 2017. The performance measure was met at 152.53% and 40,190 RSUs were earned and vested.
- RSUs awarded on November 15, 2017 that vest in three substantially equal installments on November 15, 2018, 2019 and 2020.
- This amount represents the total number of derivative securities beneficially owned of the class shown.
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