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PTC THERAPEUTICS, INC. — Director's Dealing 2021
Jan 6, 2021
31046_dirs_2021-01-06_c42ce502-ee9d-4afa-86de-e62d6cef90c2.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: 2021-01-04
Reporting Person: Almstead Neil Gregory (Chief Technical Ops Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-04 | Common Stock | M | 7229 | $27.05 | Acquired | 34318 | Direct |
| 2021-01-04 | Common Stock | S | 7229 | $60.591 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 32771 | $27.05 | Acquired | 59860 | Direct |
| 2021-01-04 | Common Stock | S | 32571 | $60.576 | Disposed | 27289 | Direct |
| 2021-01-04 | Common Stock | S | 200 | $61.245 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 3035 | $11.23 | Acquired | 30124 | Direct |
| 2021-01-04 | Common Stock | S | 2935 | $60.559 | Disposed | 27189 | Direct |
| 2021-01-04 | Common Stock | S | 100 | $61.36 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 2188 | $11.23 | Acquired | 29277 | Direct |
| 2021-01-04 | Common Stock | S | 2188 | $60.542 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 4188 | $18.01 | Acquired | 31277 | Direct |
| 2021-01-04 | Common Stock | S | 4188 | $60.588 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 5715 | $11.23 | Acquired | 32804 | Direct |
| 2021-01-04 | Common Stock | S | 5615 | $60.56 | Disposed | 27189 | Direct |
| 2021-01-04 | Common Stock | S | 100 | $61.24 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 187 | $18.01 | Acquired | 27276 | Direct |
| 2021-01-04 | Common Stock | S | 187 | $60.608 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 48125 | $18.01 | Acquired | 75214 | Direct |
| 2021-01-04 | Common Stock | S | 47936 | $60.575 | Disposed | 27278 | Direct |
| 2021-01-04 | Common Stock | S | 189 | $61.24 | Disposed | 27089 | Direct |
| 2021-01-04 | Common Stock | M | 600 | $10.85 | Acquired | 2512 | Indirect |
| 2021-01-04 | Common Stock | S | 600 | $60.65 | Disposed | 1912 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-04 | Stock Option (Right To Buy) | $27.05 | M | 7229 | Disposed | 2024-01-27 | Common Stock (7229) | Direct |
| 2021-01-04 | Stock Option (Right to Buy) | $27.05 | M | 32771 | Disposed | 2024-01-27 | Common Stock (32771) | Direct |
| 2021-01-04 | Stock Option (Right to Buy) | $11.23 | M | 3035 | Disposed | 2027-01-02 | Common Stock (3035) | Direct |
| 2021-01-04 | Stock Option (Right to Buy) | $11.23 | M | 2188 | Disposed | 2027-01-02 | Common Stock (2188) | Direct |
| 2021-01-04 | Stock Option (Right To Buy) | $18.01 | M | 4188 | Disposed | 2028-01-02 | Common Stock (4188) | Direct |
| 2021-01-04 | Stock Option (Right to Buy) | $11.23 | M | 5715 | Disposed | 2027-01-02 | Common Stock (5715) | Direct |
| 2021-01-04 | Stock Option (Right to Buy) | $18.01 | M | 187 | Disposed | 2028-01-02 | Common Stock (187) | Direct |
| 2021-01-04 | Stock Option (Right to Buy) | $18.01 | M | 48125 | Disposed | 2028-01-02 | Common Stock (48125) | Direct |
| 2021-01-04 | Stock Option (Right to Buy) | $10.85 | M | 600 | Disposed | 2023-05-15 | Common Stock (600) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right To Buy) | $490.8 | 2021-04-27 | Common Stock (216.0) | 216 | Direct |
| Stock Option (Right To Buy) | $218.4 | 2022-01-10 | Common Stock (166.0) | 166 | Direct |
| Stock Option (Right To Buy) | $51.0 | 2025-01-01 | Common Stock (69550.0) | 69550 | Direct |
| Stock Option (Right To Buy) | $30.86 | 2026-01-03 | Common Stock (55000.0) | 55000 | Direct |
| Stock Option (Right To Buy) | $33.02 | 2029-01-21 | Common Stock (72500.0) | 72500 | Direct |
| Stock Option (Right To Buy) | $33.02 | 2029-01-21 | Common Stock (17500.0) | 17500 | Direct |
| Stock Option (Right To Buy) | $51.16 | 2030-01-28 | Common Stock (69500.0) | 69500 | Direct |
| Stock Option (Right to Buy) | $490.8 | 2021-04-27 | Common Stock (7) | 7 | Indirect |
| Stock Option (Right to Buy) | $218.4 | 2022-01-10 | Common Stock (7) | 7 | Indirect |
| Stock Option (Right to Buy) | $27.05 | 2024-01-27 | Common Stock (1300) | 1300 | Indirect |
| Stock Option (Right to Buy) | $51 | 2025-01-01 | Common Stock (2060) | 2060 | Indirect |
Footnotes
F1: The transactions reported in this Form 4 were effected pursuant to written a Rule 10b5-1 plan adopted by the Reporting Person on November 24, 2020.
F2: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.40 to $61.25 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F3: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.18 to $61.12 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F4: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $61.24 to $61.25 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F5: The transactions reported in this Form 4 were effected pursuant to written a Rule 10b5-1 plan adopted by the Reporting Person on November 10, 2020.
F6: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.22 to $60.95 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F7: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.42 to $60.75 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F8: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.39 to $61.24 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F9: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.20 to $61.07 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F10: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.40 to $61.24 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F11: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $60.18 to $61.12 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
F12: The transactions reported in this Form 4 were effected pursuant to written a Rule 10b5-1 plan adopted by the spouse of the Reporting Person on November 10, 2020.
F13: Currently exercisable.
F14: This option was granted on January 3, 2018, and vests over four years, with 25% of the shares underlying the option vesting on January 3, 2019, and an additional 6.25% of the original number of shares underlying the option vesting at the end of each successive three-month period thereafter, beginning on April 3, 2019.
F15: This option was granted on January 22, 2019 and vests over four years, with 25% of the shares underlying the option vesting on January 22, 2020, and an additional 6.25% of the original number of shares underlying the option vesting at the end of each successive three-month period thereafter, beginning April 22, 2020.
F16: This option was granted on January 22, 2019 and vests over four years, with 50% of the shares underlying the option vesting on January 22, 2022, and the remaining 50% of the original number of shares underlying the option vesting on January 22, 2023.
F17: This option was granted on January 29, 2020, and vests over four years, with 25% of the shares underlying the option vesting on January 29, 2021, and an additional 6.25% of the original number of shares underlying the option vesting at the end of each successive three-month period thereafter, beginning on April 29, 2021.