0001140361-13-043506.txt : 20131119 0001140361-13-043506.hdr.sgml : 20131119 20131119161809 ACCESSION NUMBER: 0001140361-13-043506 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131115 FILED AS OF DATE: 20131119 DATE AS OF CHANGE: 20131119 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: Diouane Marc CENTRAL INDEX KEY: 0001502328 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18059 FILM NUMBER: 131230170 MAIL ADDRESS: STREET 1: 140 KENDRICK STREET CITY: NEEDHAM STATE: MA ZIP: 02494 4 1 doc1.xml FORM 4 X0306 4 2013-11-15 0 0000857005 PTC INC. PMTC 0001502328 Diouane Marc 140 KENDRICK STREET NEEDHAM MA 02494 0 1 0 0 EVP Global Services & Partners Common Stock 2013-11-15 4 M 0 71024 0 A 75364 D Common Stock 2013-11-15 4 F 0 13439 32.37 D 61925 D Restricted Stock Units 2013-11-15 4 M 0 8573 0 D Common Stock 8573 0 D Restricted Stock Units 2013-11-15 4 M 0 6468 0 D Common Stock 6468 0 D Restricted Stock Units 2013-11-15 4 M 0 6468 0 D Common Stock 6468 0 D Restricted Stock Units 2013-11-15 4 M 0 10711 0 D Common Stock 10711 10710 D Restricted Stock Units 2013-11-15 4 M 0 6978 0 D Common Stock 6978 6978 D Restricted Stock Units 2013-11-15 4 M 0 7140 0 D Common Stock 7140 7140 D Restricted Stock Units 2013-11-15 4 M 0 1890 0 D Common Stock 1890 1890 D Restricted Stock Units 2013-11-15 4 M 0 1231 0 D Common Stock 1231 1231 D Restricted Stock Units 2013-11-15 4 M 0 1260 0 D Common Stock 1260 1260 D Restricted Stock Units 2013-11-15 4 M 0 7460 0 D Common Stock 7460 18230 D Restricted Stock Units 2013-11-15 4 M 0 12845 0 D Common Stock 12845 25690 D Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 71,024 shares of the Reporting Person's restricted stock unit awards on November 15, 2013. Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. Time-based restricted stock units that vested as to 8,574 RSUs on November 15, 2011 and 8,573 RSUs on November 15, 2012 and November 15, 2013. Performance-based restricted stock units subject to subsequent time-based restrictions that vested as to 6,469 RSUs on November 15, 2011 and November 15, 2012 and 6,468 RSUs on November 15, 2013. Time-based restricted stock units that vested as to 6,469 RSUs on November 15, 2011 and November 15, 2012 and 6,468 RSUs on November 15, 2013. Performance-based restricted stock units that may be earned only to the extent the established performance criteria are met. 10,711 RSUs vested on November 15, 2013 and the remaining RSUs will vest on the later of November 15, 2014 and the date the Compensation Committee determines the extent to which the performance criteria have been achieved. Performance-based restricted stock units subject to subsequent time-based restrictions that vested as to 6,978 RSUs on November 15, 2012 and November 15, 2013, and will vest as to 6,978 RSUs on November 15, 2014. Time-based restricted stock awards that vested as to 7,141 RSUs on November 15, 2012, 7,140 RSUs on November 15, 2013 and will vest as to 7,140 RSUs on November 15, 2014. Performance-based restricted stock units that may be earned only to the extent the established performance criteria are met. The performance criteria were met for the first period and 1,890 RSUs vested on November 15, 2013. The remaining half of these RSUs will vest on the later of November 15, 2014 and the date the Compensation Committee determines the extent to which the performance criteria for the second period have been achieved. Performance-based restricted stock units subject to subsequent time-based restrictions that vested as to 1,232 RSUs on November 15, 2012, 1,231 RSUs on November 15, 2013, and will vest as to 1,231 RSUs on November 15, 2014. Time-based restricted stock awards that vested as to 1,260 RSUs on November 15, 2012 and November 15, 2013 and will vest as to 1,260 RSUs on November 15, 2014. Performance-based restricted stock units that are earned only to the extent the established performance criteria for each of the three performance periods are met. The criteria were met in part for the first period and 7,460 RSUs vested on November 15, 2013. Up to a total of two-thirds of the units awarded (less any vested for the first period) are eligible to vest on the later of November 15, 2014 and the date the Compensation Committee determines the performance criteria for the second period have been achieved and up to all of the units awarded are eligible to vest on the later of November 15, 2015 and the date the Compensation Committee determines the performance criteria for the third period have been achieved. Time-based restricted stock awards that vested as to 12,845 RSUs on November 15, 2013 and will vest as to 12,845 RSUs on November 15, 2014 and November 15, 2015. This amount represents the total number of derivative securities beneficially owned of the class shown. Catherine Gorecki by power of attorney filed 10/6/2010 2013-11-19