SEC Form 4 · accession 0001140361-15-040224
PTC INC. · PTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron C Von Staats
Officer — CVP,General Counsel, Secretary
Period of report
Nov 5, 2015
Accepted (ET)
Nov 9, 2015 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000857005
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F1,F2 | — | Nov 5, 2015 | D | 6,279 | D | — | — | Common Stock | 6,279 | 0 | D |
| Restricted Stock UnitsF4,F1,F3 | — | Nov 5, 2015 | D | 10,364 | D | — | — | Common Stock | 10,364 | 0 | D |
| Restricted Stock UnitsF4,F1,F2 | — | Nov 5, 2015 | A | 6,279 | A | — | — | Common Stock | 6,279 | 6,279 | D |
| Restricted Stock UnitsF4,F1,F3 | — | Nov 5, 2015 | A | 10,364 | A | — | — | Common Stock | 10,364 | 10,364 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to one share of PTC Inc. common stock.
- F2Represents the deemed cancellation of the outstanding award and a replacement of the award due to the amendment of the award. The award was initially granted on November 5, 2012 and was eligible to vest in three equal annual installments on each of November 15, 2013, 2014 and 2015. The RSUs shown will vest on November 15, 2015.
- F3Represents the deemed cancellation of the outstanding award and a replacement of the award due to the amendment of the award. The award was initially granted on November 11, 2013 and was eligible to vest in three equal annual installments on each of November 15, 2014, 2015 and 2016. The RSUs shown will vest in two substantially equal increments on November 15, 2015 and 2016.
- F4This amount represents the total number of derivative securities beneficially owned of the class shown.