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PTC THERAPEUTICS, INC. — Director's Dealing 2015
May 20, 2015
31046_dirs_2015-05-19_017e8c31-c02b-4e07-9ab7-a8f9d0ba54c1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PTC THERAPEUTICS, INC. (PTCT)
CIK: 0001070081
Period of Report: 2015-05-15
Reporting Person: SCHMERTZLER MICHAEL (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-15 | Common Stock | J | 733 | — | Disposed | 2988 | Indirect |
| 2015-05-18 | Common Stock | J | 2852 | — | Disposed | 136 | Indirect |
| 2015-05-19 | Common Stock | J | 136 | — | Disposed | 0 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 26766 | Direct |
| Common Stock | 1320369 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $51 | 2025-01-01 | Common Stock (24000) | 24000 | Direct |
| Stock Option (Right to Buy) | $27.05 | 2024-01-27 | Common Stock (20000) | 20000 | Direct |
| Stock Option (Right to Buy) | $10.85 | 2023-05-15 | Common Stock (60000) | 60000 | Direct |
| Stock Option (Right to Buy) | $218.4 | 2022-01-10 | Common Stock (276) | 276 | Direct |
| Stock Option (Right to Buy) | $490.8 | 2021-04-27 | Common Stock (276) | 276 | Direct |
| Stock Option (Right to Buy) | $1149.6 | 2020-02-02 | Common Stock (216) | 216 | Direct |
| Stock Option (Right to Buy) | $508.8 | 2019-10-07 | Common Stock (266) | 266 | Direct |
| Stock Option (Right to Buy) | $735.6 | 2018-01-25 | Common Stock (166) | 166 | Direct |
| Stock Option (Right to Buy) | $735.6 | 2018-07-14 | Common Stock (83) | 83 | Direct |
| Stock Option (Right to Buy) | $626.4 | 2017-04-18 | Common Stock (125) | 125 | Direct |
| Stock Option (Right to Buy) | $392.4 | 2016-03-01 | Common Stock (90) | 90 | Direct |
Footnotes
F1: Represents 26,766 shares of common stock of the Issuer ("common stock") directly held by the reporting person.
F2: Represents dispositions pursuant to Rule 144 of (i) 687 shares of common stock held by EMA Private Equity Fund 1999 LP and (ii) 46 shares of common stock held by Credit Suisse First Boston Finders and Screeners LP at a weighted average price of $52.8576 per share. Although included in the reporting person's prior ownership reports, the reporting person disclaims beneficial ownership of the disposed securities.
F3: Consists of (i) 2,800 shares held by EMA Private Equity Fund 1999 LP and (ii) 188 shares held by Credit Suisse First Boston Finders and Screeners LP. The reporting person is a managing director of Aries Advisors, LLC, the sub-advisor to Credit Suisse First Boston Equity Partners, L.P. The reporting person disclaims beneficial ownership of the shares of common stock held by these entities.
F4: Represents dispositions pursuant to Rule 144 of (i) 2,673 shares of common stock held by EMA Private Equity Fund 1999 LP and (ii) 179 shares of common stock held by Credit Suisse First Boston Finders and Screeners LP at a weighted average price of $53.1517 per share. Although included in the reporting person's prior ownership reports, the reporting person disclaims beneficial ownership of the disposed securities.
F5: Consists of (i) 127 shares held by EMA Private Equity Fund 1999 LP and (ii) 9 shares held by Credit Suisse First Boston Finders and Screeners LP. The reporting person disclaims beneficial ownership of the shares of common stock held by these entities.
F6: Represents dispositions pursuant to Rule 144 of (i) 127 shares of common stock held by EMA Private Equity Fund 1999 LP and (ii) 9 shares of common stock held by Credit Suisse First Boston Finders and Screeners LP at a weighted average price of $51.9676 per share. Although included in the reporting person's prior ownership reports, the reporting person disclaims beneficial ownership of the disposed securities.
F7: Represents shares of common stock held by Section Six Partners, L.P. The reporting person is a general and limited partner of, and trustee of certain family trusts holding interests in, Section Six Partners, L.P. The reporting person disclaims beneficial ownership of the shares of common stock held by Section Six Partners, L.P. except to the extent of his pecuniary interest therein.
F8: This option was granted on May 15, 2013 and vests over three years, with 8.33% of the shares underlying the option vested on August 15, 2013 and an additional 8.33% of the original number of shares underlying the option vesting at the end of each successive three-month period thereafter.
F9: Currently exercisable.