Form 4 for PTC PTC Inc.
Accepted 2023-11-17 00:00:00 ET · period of report 2023-11-15 · accession 0001654954-23-014545 · 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 | 2023-11-17 | 2023-11-15 | PTC | HEPPELMANN JAMES E | CEO, Dir | F - Tax | $154.68 | -105.9K | 997.1K | -10% | -$16.38M |
| D | 2023-11-17 | 2023-11-15 | PTC | HEPPELMANN JAMES E | CEO, Dir | M - OptEx | $0.00 | +232.9K | 1.10M | +27% | $0 |
| DM | 2023-11-17 | 2023-11-15 | PTC | HEPPELMANN JAMES E | CEO, Dir | M - OptEx | $0.00 | -232.9K | 0 | -100% | $0 |
| D | 2023-11-17 | 2023-11-15 | PTC | HEPPELMANN JAMES E | CEO, Dir | A - Grant | $0.00 | +141.3K | 141.3K | 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 | 2023-11-15 | F | D | 105,896 | $154.68 | 997,078 | D | — | — | (F1) Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person incurred in connection with the vesting of the Reporting Person's restricted stock unit awards. |
| 2 | Common | Common Stock | 2023-11-15 | M | A | 232,913 | $0.00 | 1,102,974 | D | — | — | |
| 3 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 12,837 | $0.00 | 25,674 | D | — · — to — | 12,837 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F10) RSUs granted on November 16, 2022 that vest in three substantially equal installments on November 15, 2023, 2024 and 2025. |
| 4 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 17,603 | $0.00 | 0 | D | — · — to — | 17,603 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F4) RSUs granted on November 17, 2020 that vested on November 15, 2023. |
| 5 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 141,346 | $0.00 | 0 | D | — · — to — | 141,346 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F3) Performance-based RSUs granted on September 24, 2020 that could be earned for FY23 that were earned and vested on November 15, 2023. |
| 6 | Derivative | Restricted Stock Units | 2023-11-15 | A | A | 141,346 | $0.00 | 141,346 | D | — · — to — | 141,346 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F3) Performance-based RSUs granted on September 24, 2020 that could be earned for FY23 that were earned and vested on November 15, 2023. |
| 7 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 13,201 | $0.00 | 0 | D | — · — to — | 13,201 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F6) Performance based RSUs granted on November 17, 2020 that could be earned for FY23 that were earned and vested on November 15, 2023. |
| 8 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 13,931 | $0.00 | 13,930 | D | — · — to — | 13,931 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F7) RSUs granted on November 17, 2021 that vest in three substantially equal installments on November 15, 2022, 2023 and 2024. |
| 9 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 10,935 | $0.00 | 6,965 | D | — · — to — | 10,935 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F8) Performance-based RSUs granted on November 17, 2021 that vest to the extent earned in November 2022, 2023 and 2024. |
| 10 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 9,243 | $0.00 | 12,836 | D | — · — to — | 9,243 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F9) Performance-based RSUs granted on November 16, 2022 that vest to the extent earned in November 2023, 2024 and 2025. |
| 11 | Derivative | Restricted Stock Units | 2023-11-15 | M | D | 13,817 | $0.00 | 0 | D | — · — to — | 13,817 Common Stock | (F11) This amount represents the total number of derivative securities beneficially owned of the class shown. (F2) Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. (F5) Performance based RSUs granted on November 17, 2020 that could be earned for FY23 that were earned and vested on November 15, 2023. |