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PTC INC. — Director's Dealing 2021
Nov 17, 2021
30223_dirs_2021-11-17_b2009cb1-a52c-4cb6-9c3e-a522da7de037.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: 2021-11-15
Reporting Person: HEPPELMANN JAMES E (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-15 | Common Stock | M | 295077 | — | Acquired | 953981 | Direct |
| 2021-11-15 | Common Stock | A | 9263 | — | Acquired | 963244 | Direct |
| 2021-11-15 | Common Stock | F | 133732 | $120.0500 | Disposed | 829512 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-15 | Restricted Stock Units | $ | A | 36006 | Acquired | Common Stock (36006) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 36006 | Disposed | Common Stock (36006) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 18003 | Disposed | Common Stock (18003) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | A | 14834 | Acquired | Common Stock (14834) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 14834 | Disposed | Common Stock (14834) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | A | 16262 | Acquired | Common Stock (16262) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 16262 | Disposed | Common Stock (16262) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 20422 | Disposed | Common Stock (20422) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | A | 143027 | Acquired | Common Stock (143027) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 143027 | Disposed | Common Stock (143027) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 17603 | Disposed | Common Stock (17603) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 17604 | Disposed | Common Stock (17604) | Direct | |
| 2021-11-15 | Restricted Stock Units | $ | M | 11316 | Disposed | Common Stock (11316) | Direct |
Footnotes
F1: Shares earned under FY21 Corporate Incentive Plan.
F2: Tendered to Issuer to satisfy tax withholding obligations of the Reporting Person on the shares serviced.
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.
F5: RSUs granted on November 14, 2018 that vested in three substantially equal installments on November 15, 2019, 2020 and 2021.
F6: Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021.
F7: Performance based RSUs granted on November 21, 2019 that could be earned for FY21 that were earned and vested on November 15, 2021.
F8: RSUs granted on November 21, 2019 that vest in three substantially equal installments on November 15, 2020, 2021 and 2022.
F9: Performance-based RSUs granted on September 24, 2020 that could be earned for FY21 that were earned and vested on November 15, 2021.
F10: RSUs granted on November 17, 2020 that vest in three substantially equal installments on November 15, 2021, 2022 and 2023.
F11: Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021.
F12: Performance based RSUs granted on November 17, 2020 that vested on November 15, 2021.
F13: This amount represents the total number of derivative securities beneficially owned of the class shown.