0001354488-16-008537.txt : 20161117 0001354488-16-008537.hdr.sgml : 20161117 20161117163857 ACCESSION NUMBER: 0001354488-16-008537 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161115 FILED AS OF DATE: 20161117 DATE AS OF CHANGE: 20161117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PTC INC. CENTRAL INDEX KEY: 0000857005 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042866152 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 140 KENDRICK STREET CITY: NEEDHAM STATE: MA ZIP: 02494 BUSINESS PHONE: 7813705000 MAIL ADDRESS: STREET 1: 140 KENDRICK STREET CITY: NEEDHAM STATE: MA ZIP: 02494 FORMER COMPANY: FORMER CONFORMED NAME: PARAMETRIC TECHNOLOGY CORP DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DIBONA ANTHONY CENTRAL INDEX KEY: 0001227524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18059 FILM NUMBER: 162005392 MAIL ADDRESS: STREET 1: C/O PARAMETRIC TECHNOLOGY CORP STREET 2: 140 KENDRICK ST CITY: NEEDHAM STATE: MA ZIP: 02494 4 1 issuerdirect_section16.xml PRIMARY DOCUMENT X0306 4 2016-11-15 0 0000857005 PTC INC. PTC 0001227524 DIBONA ANTHONY PTC INC. 140 KENDRICK STREET NEEDHAM MA 02494 1 EVP, Renewal Sales Common Stock 2016-11-15 4 M 0 44385 0 D 66436 D Common Stock 2016-11-15 4 F 0 18670 47.53 D 47766 D Common Stock 2016-11-16 4 S 0 3857 47.5502 D 43909 D Restricted Stock Units 2016-11-15 4 M 0 13926 0 D Common Stock 13926 0 D Restricted Stock Units 2016-11-15 4 A 0 4047 0 A Common Stock 4047 4047 D Restricted Stock Units 2016-11-15 4 M 0 4047 0 D Common Stock 4047 0 D Restricted Stock Units 2016-11-15 4 M 0 6041 0 D Common Stock 6041 6041 D Restricted Stock Units 2016-11-15 4 A 0 12826 0 A Common Stock 12826 12826 D Restricted Stock Units 2016-11-15 4 M 0 12826 0 D Common Stock 12826 0 D Restricted Stock Units 2016-11-15 4 M 0 7545 0 D Common Stock 7545 15090 D Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 44,385 shares of the Reporting Person's restricted stock unit awards on November 15, 2016. Shares sold pursuant to a pre-established 10b5-1(c ) trading plan. This transaction was executed in multiple trades at prices ranging from $47.53 to $47.65. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. RSUs awarded on November 11, 2013 that vested in three substantially equal annual installments on November 15, 2014, 2015 and 2016. Performance-based restricted stock units awarded on November 10, 2014 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2015, September 30, 2016 and September 30, 2017. The performance measure for the first period was not met and no RSUs were earned. The performance measure for the second performance period was met at 67% and 4,047 RSUs were earned. Performance-based restricted stock units awarded on November 10, 2014 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2015, September 30, 2016 and September 30, 2017. The performance measure for the first period was not met and no RSUs were earned. The performance measure for the second performance period was met at 67% and 4,047 RSUs vested. RSUs awarded on November 10, 2014 that vest in three substantially equal installments on November 15, 2015, 2016 and 2017. Performance-based restricted stock units awarded on November 2, 2015 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2016, September 30, 2017 and September 30, 2018. The performance measure for the first period was met at 170% and 12,826 RSUs were earned. Performance-based restricted stock units awarded on November 2, 2015 that may be earned only to the extent the established performance criteria are met for each of the three performance periods ending September 30, 2016, September 30, 2017 and September 30, 2018. The performance measure for the first period was met at 170% and 12,826 RSUs vested. RSUs awarded on November 2, 2015 that vest in three substantially equal installments on November 15, 2016, 2017 and 2018. This amount represents the total number of derivative securities beneficially owned of the class shown. /s/Catherine Gorecki by power of attorney filed 11/2/2007 2016-11-17