AI assistant
PTC INC. — Director's Dealing 2021
Nov 17, 2021
30223_dirs_2021-11-17_af7f0608-9956-41cd-8688-ab52833d0588.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PTC INC. (PTC)
CIK: 0000857005
Period of Report: 2021-11-15
Reporting Person: VON STAATS AARON C (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-15 | Common Stock | S | 1495 | $119.9441 | Disposed | 18638 | Direct |
| 2021-11-15 | Common Stock | S | 529 | $120.6360 | Disposed | 18109 | Direct |
| 2021-11-15 | Common Stock | S | 117 | $122.2182 | Disposed | 17992 | Direct |
| 2021-11-15 | Common Stock | A | 3242 | — | Acquired | 21234 | Direct |
| 2021-11-15 | Common Stock | M | 28615 | — | Acquired | 49849 | Direct |
| 2021-11-15 | Common Stock | F | 12883 | $120.0500 | Disposed | 36966 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-15 | Restricted Stock Units | $ | A | 6946 | Acquired | Common Stock (6946) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 6946 | Disposed | Common Stock (6946) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 3473 | Disposed | Common Stock (3473) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | A | 2862 | Acquired | Common Stock (2862) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 2862 | Disposed | Common Stock (2862) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | A | 3137 | Acquired | Common Stock (3137) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 3137 | Disposed | Common Stock (3137) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 3940 | Disposed | Common Stock (3940) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 3125 | Disposed | Common Stock (3125) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 3124 | Disposed | Common Stock (3124) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 2008 | Disposed | Common Stock (2008) | Direct |
Footnotes
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.
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.
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.
F5: Shares earned under the FY21 Corporate Incentive Plan.
F6: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person on the shares released.
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.
F9: RSUs granted on November 14, 2018 that vested on November 15, 2019, 2020 and 2021.
F10: Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021.
F11: Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021.
F12: RSUs granted on November 21, 2019 that vest in three substantially equal installments on November 15, 2020, 2021 and 2022.
F13: RSUs granted on November 17, 2020 that vest in three substantially equal installments on November 15, 2021, 2022 and 2023.
F14: Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021.
F15: Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021.
F16: This amount represents the total number of derivative securities beneficially owned of the class shown.