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PTC INC. — Director's Dealing 2019
Nov 19, 2019
30223_dirs_2019-11-19_5508f1d3-aff0-4f19-81e4-8ebea2f24f34.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PTC INC. (PTC)
CIK: 0000857005
Period of Report: 2019-11-15
Reporting Person: Mitford Kathleen (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-11-15 | Common Stock | A | 3952 | — | Acquired | 16218 | Direct |
| 2019-11-15 | Common Shares | F | 1755 | $74.09 | Disposed | 14463 | Direct |
| 2019-11-15 | Common Stock | M | 10810 | — | Acquired | 25273 | Direct |
| 2019-11-15 | Common Stock | F | 3728 | $74.09 | Disposed | 21545 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-11-15 | Restricted Stock Units | $ | M | 2459 | Disposed | Common Stock (2459) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | A | 554 | Acquired | Common Stock (554) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | M | 554 | Disposed | Common Stock (554) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | M | 1304 | Disposed | Common Stock (1304) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | A | 804 | Acquired | Common Stock (804) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | M | 804 | Disposed | Common Stock (804) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | A | 2118 | Acquired | Common Stock (2118) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | M | 2118 | Disposed | Common Stock (2118) | Direct | |
| 2019-11-15 | Restricted Stock Units | $ | M | 3571 | Disposed | Common Stock (3571) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3300 | Indirect |
Footnotes
F1: Bonus shares acquired upon satisfaction of performance conditions for FY 2019.
F2: 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
F3: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock.
F4: RSUs granted on October 31, 2016 that vest in three substantially equal installments on November 15, 2017, 2018 and 2019.
F5: Performance-based RSU's granted on February 28, 2017 that could be earned only to the extent the performance criteria for the performance period ended September 30, 2019 were met. The performance measure was met at 89.66% and 554 RSUs were earned and vested.
F6: RSUs granted on November 15, 2017 that vest in three substantially equal installments on November 15, 2018, 2019 and 2020.
F7: Performance-based RSUs granted on November 15, 2017 that could be earned only to the extent the established performance measure was met for the performance period ended September 30, 2019. The performance measure was met at 61.73% and 804 RSUs were earned and vested.
F8: Performance-based RSUs granted on November 14, 2018 that could be earned only to the extent the established performance measure was met for the performance period ended September 30, 2019. The performance measure was met at 59.33% and 2,118 RSUs were earned and vested.
F9: RSUs granted on November 14, 2018 that vest in three substantially equal installments on November 15, 2019, 2020 and 2021.
F10: This amount represents the total number of derivative securities beneficially owned of the class shown.