Form 4 for PTC PTC Inc.
Accepted 2021-11-17 00:00:00 ET · period of report 2021-11-15 · accession 0001654954-21-012379 · 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 | VON STAATS AARON C | EVP, GC, Sec | A - Grant | $0.00 | +3,242 | 21.2K | +18% | $0 |
| D | 2021-11-17 | 2021-11-15 | PTC | VON STAATS AARON C | EVP, GC, Sec | F - Tax | $120.05 | -12.9K | 37.0K | -26% | -$1.55M |
| DM | 2021-11-17 | 2021-11-15 | PTC | VON STAATS AARON C | EVP, GC, Sec | S - Sale+OE | $120.24 | -2,141 | 18.6K | -10% | -$257.4K |
| D | 2021-11-17 | 2021-11-15 | PTC | VON STAATS AARON C | EVP, GC, Sec | M - OptEx | $0.00 | +28.6K | 49.8K | +135% | $0 |
| DM | 2021-11-17 | 2021-11-15 | PTC | VON STAATS AARON C | EVP, GC, Sec | M - OptEx | $0.00 | -28.6K | 0 | -100% | $0 |
| DM | 2021-11-17 | 2021-11-15 | PTC | VON STAATS AARON C | EVP, GC, Sec | A - Grant | $0.00 | +12.9K | 3,137 | 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 | 3,242 | $0.00 | 21,234 | D | — | — | (F5) Shares earned under the FY21 Corporate Incentive Plan. |
| 2 | Common | Common Stock | 2021-11-15 | F | D | 12,883 | $120.05 | 36,966 | D | — | — | (F6) Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person on the shares released. |
| 3 | Common | Common Stock | 2021-11-15 | S | D | 117 | $122.22 | 17,992 | D | — | — | (F1) Shares sold pursuant to a pre-established 10b5-1(c ) trading plan. (F4) This transaction was executed in multiple trades at prices ranging from $122 to $122.23. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| 4 | Common | Common Stock | 2021-11-15 | S | D | 529 | $120.64 | 18,109 | D | — | — | (F1) Shares sold pursuant to a pre-established 10b5-1(c ) trading plan. (F3) This transaction was executed in multiple trades at prices ranging from $120.48 to $120.88. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| 5 | Common | Common Stock | 2021-11-15 | S | D | 1,495 | $119.94 | 18,638 | D | — | — | (F1) Shares sold pursuant to a pre-established 10b5-1(c ) trading plan. (F2) This transaction was executed in multiple trades at prices ranging from $119.32 to $120.16. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| 6 | Common | Common Stock | 2021-11-15 | M | A | 28,615 | $0.00 | 49,849 | D | — | — | |
| 7 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 2,008 | $0.00 | 3,124 | D | — · — to — | 2,008 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F15) Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021. |
| 8 | Derivative | Restricted Stock Units | 2021-11-15 | A | A | 6,946 | $0.00 | 6,946 | D | — · — to — | 6,946 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F8) Performance-based RSUs granted on November 14, 2018 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 | 3,940 | $0.00 | 3,940 | D | — · — to — | 3,940 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F12) RSUs granted on November 21, 2019 that vest in three substantially equal installments on November 15, 2020, 2021 and 2022. |
| 10 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 3,473 | $0.00 | 0 | D | — · — to — | 3,473 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F9) RSUs granted on November 14, 2018 that vested on November 15, 2019, 2020 and 2021. |
| 11 | Derivative | Restricted Stock Units | 2021-11-15 | A | A | 2,862 | $0.00 | 2,862 | D | — · — to — | 2,862 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F10) 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 | 2,862 | $0.00 | 0 | D | — · — to — | 2,862 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F10) Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021. |
| 13 | Derivative | Restricted Stock Units | 2021-11-15 | A | A | 3,137 | $0.00 | 3,137 | D | — · — to — | 3,137 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F11) Performance based RSUs granted on November 21, 2019 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 | 3,137 | $0.00 | 0 | D | — · — to — | 3,137 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F11) Performance based RSUs granted on November 21, 2019 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 | 3,124 | $0.00 | 3,124 | D | — · — to — | 3,124 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F14) Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021. |
| 16 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 3,125 | $0.00 | 6,248 | D | — · — to — | 3,125 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F13) RSUs granted on November 17, 2020 that vest in three substantially equal installments on November 15, 2021, 2022 and 2023. |
| 17 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 6,946 | $0.00 | 0 | D | — · — to — | 6,946 Common Stock | (F16) This amount represents the total number of derivative securities beneficially owned of the class shown. (F7) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F8) Performance-based RSUs granted on November 14, 2018 that could be earned for FY21 that were earned and vested on November 15, 2021. |