Form 4 for PTC PTC Inc.
Accepted 2021-11-17 00:00:00 ET · period of report 2021-11-15 · accession 0001654954-21-012377 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-17 | 2021-11-15 | PTC | HEPPELMANN JAMES E | Pres, CEO, Dir | A - Grant | $0.00 | +9,263 | 963.2K | +1.0% | $0 |
| D | 2021-11-17 | 2021-11-15 | PTC | HEPPELMANN JAMES E | Pres, CEO, Dir | M - OptEx | $0.00 | +295.1K | 954.0K | +45% | $0 |
| D | 2021-11-17 | 2021-11-15 | PTC | HEPPELMANN JAMES E | Pres, CEO, Dir | F - Tax | $120.05 | -133.7K | 829.5K | -14% | -$16.05M |
| DM | 2021-11-17 | 2021-11-15 | PTC | HEPPELMANN JAMES E | Pres, CEO, Dir | M - OptEx | $0.00 | -295.1K | 17.6K | -94% | $0 |
| DM | 2021-11-17 | 2021-11-15 | PTC | HEPPELMANN JAMES E | Pres, CEO, Dir | A - Grant | $0.00 | +210.1K | 143.0K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-15 | A | A | 9,263 | $0.00 | 963,244 | D | — | — | (F1) Shares earned under FY21 Corporate Incentive Plan. |
| 2 | Common | Common Stock | 2021-11-15 | M | A | 295,077 | $0.00 | 953,981 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-15 | F | D | 133,732 | $120.05 | 829,512 | D | — | — | (F2) Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person on the shares serviced. |
| 4 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 11,316 | $0.00 | 17,602 | D | — · — to — | 11,316 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F12) Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021. |
| 5 | Derivative | Restricted Stock Units | 2021-11-15 | A | A | 36,006 | $0.00 | 36,006 | D | — · — to — | 36,006 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F4) Performance-based RSUs granted on November 14, 2018 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 6 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 36,006 | $0.00 | 0 | D | — · — to — | 36,006 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F4) Performance-based RSUs granted on November 14, 2018 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 7 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 18,003 | $0.00 | 0 | D | — · — to — | 18,003 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F5) RSUs granted on November 14, 2018 that vested in three substantially equal installments on November 15, 2019, 2020 and 2021. |
| 8 | Derivative | Restricted Stock Units | 2021-11-15 | A | A | 14,834 | $0.00 | 14,834 | D | — · — to — | 14,834 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F6) Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 9 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 14,834 | $0.00 | 0 | D | — · — to — | 14,834 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F6) Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 10 | Derivative | Restricted Stock Units | 2021-11-15 | A | A | 16,262 | $0.00 | 16,262 | D | — · — to — | 16,262 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F7) Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 11 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 16,262 | $0.00 | 0 | D | — · — to — | 16,262 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F7) Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 12 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 20,422 | $0.00 | 20,422 | D | — · — to — | 20,422 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F8) RSUs granted on November 21, 2019 that vest in three substantially equal installments on November 15, 2020, 2021 and 2022. |
| 13 | Derivative | Restricted Stock Units | 2021-11-15 | A | A | 143,027 | $0.00 | 143,027 | D | — · — to — | 143,027 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F9) Performance-based RSUs granted on September 24, 2020 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 14 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 143,027 | $0.00 | 0 | D | — · — to — | 143,027 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F9) Performance-based RSUs granted on September 24, 2020 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 15 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 17,603 | $0.00 | 35,206 | D | — · — to — | 17,603 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F10) RSUs granted on November 17, 2020 that vest in three substantially equal installments on November 15, 2021, 2022 and 2023. |
| 16 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 17,604 | $0.00 | 17,602 | D | — · — to — | 17,604 Common Stock | (F13) This amount represents the total number of derivative securities beneficially owned of the class shown. (F3) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F11) Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021. |