SEC Form 4 · accession 0001654954-17-001655
PTC INC. · PTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip M Fernandez
Director
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000857005
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2017 | M | 13,075 | $0.00 | A | 13,075 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F1,F2 | — | Mar 1, 2017 | M | 5,604 | D | — | — | Common Stock | 5,604 | 5,603 | D |
| Restricted Stock UnitsF5,F1,F3 | — | Mar 1, 2017 | M | 7,471 | D | — | — | Common Stock | 7,471 | 0 | D |
| Restricted Stock UnitsF5,F1,F4 | — | Mar 1, 2017 | A | 4,484 | A | — | — | Common Stock | 4,484 | 4,484 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock.
- F2Time-based restricted stock units that vest in two substantially equal installments, the first installment of which vested on March 1, 2017 and the second installment of which will vest on the earlier of the date of the 2018 Annual Meeting of Stockholders and March 15, 2018.
- F3Time-based restricted stock units that vested on March 1, 2017.
- F4Time-based restricted stock units that vest on the earlier of the date of PTC Inc.'s 2018 Annual Stockholder Meeting or March 15, 2018.
- F5This amount represents the total number of derivative securities beneficially owned of the class shown.