Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PTC INC.PTC · Entity 3317 | EVP, Group President TPG | November 15, 2016 | November 17, 2016 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PTC INC.
Report date November 15, 2016 · Filed November 17, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,611 |
Ending reported balance
After 2016-11-16 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2016-11-15 · Exercise / conversion · Acquired 40,018 · Balance 40,018 Row 2 · 2016-11-15 · Tax withholding · Disposed 16,786 · Balance 23,232 F1: Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 40,018 shares of the Reporting Person's restricted stock unit awards on November 15, 2016. Row 3 · 2016-11-16 · Sale · Disposed 14,621 · Balance 8,611 F2: Shares sold pursuant to a pre-established 10b5-1(c ) trading plan. F3: This transaction was executed in multiple trades at prices ranging from $47.22 to $47.64. 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-11-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-11-15 · Exercise / conversion · Disposed 11,660 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F5: RSUs awarded on November 11, 2013 that vested in three substantially equal annual installments on November 15, 2014, 2015 and 2016. F12: This amount represents the total number of derivative securities beneficially owned of the class shown. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,388 |
Reported balance
After 2016-11-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-11-15 · Grant · Acquired 3,388 · Balance 3,388 F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F6: 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 3,388 RSUs were earned. F12: This amount represents the total number of derivative securities beneficially owned of the class shown. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-11-15 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-11-15 · Exercise / conversion · Disposed 3,388 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F7: 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 3,388 RSUs vested. F12: This amount represents the total number of derivative securities beneficially owned of the class shown. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 5,057 |
Reported balance
After 2016-11-15 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2016-11-15 · Exercise / conversion · Disposed 5,058 · Balance 5,057 F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F8: RSUs awarded on November 10, 2014 that vest in three substantially equal installments on November 15, 2015, 2016 and 2017. F12: This amount represents the total number of derivative securities beneficially owned of the class shown. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 12,537 |
Reported balance
After 2016-11-15 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2016-11-15 · Grant · Acquired 12,537 · Balance 12,537 F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F9: 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 12,537 RSUs were earned. F12: This amount represents the total number of derivative securities beneficially owned of the class shown. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-11-15 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2016-11-15 · Exercise / conversion · Disposed 12,537 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F10: 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 12,537 RSUs vested. F12: This amount represents the total number of derivative securities beneficially owned of the class shown. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 14,748 |
Reported balance
After 2016-11-15 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2016-11-15 · Exercise / conversion · Disposed 7,375 · Balance 14,748 F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F11: RSUs awarded on November 2, 2015 that vest in three substantially equal installments on November 15, 2016, 2017 and 2018. F12: This amount represents the total number of derivative securities beneficially owned of the class shown. |
Filing footnotes · ownership attribution and instrument terms
F1: Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 40,018 shares of the Reporting Person's restricted stock unit awards on November 15, 2016.
F2: Shares sold pursuant to a pre-established 10b5-1(c ) trading plan.
F3: This transaction was executed in multiple trades at prices ranging from $47.22 to $47.64. 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.
F4: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock.
F5: RSUs awarded on November 11, 2013 that vested in three substantially equal annual installments on November 15, 2014, 2015 and 2016.
F6: 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 3,388 RSUs were earned.
F7: 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 3,388 RSUs vested.
F8: RSUs awarded on November 10, 2014 that vest in three substantially equal installments on November 15, 2015, 2016 and 2017.
F9: 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 12,537 RSUs were earned.
F10: 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 12,537 RSUs vested.
F11: RSUs awarded on November 2, 2015 that vest in three substantially equal installments on November 15, 2016, 2017 and 2018.
F12: This amount represents the total number of derivative securities beneficially owned of the class shown.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 16, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | SaleCommon Stock | 14,621 | $47.45 | $693,770.84 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · nonDerivative · entry 3 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,611 F2 · shares: Shares sold pursuant to a pre-established 10b5-1(c ) trading plan. F3 · price: This transaction was executed in multiple trades at prices ranging from $47.22 to $47.64. 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. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | Exercise / conversionRestricted Stock Units · Derivative | 7,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · derivative · entry 10 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,748 Underlying: Common Stock · 7,375 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F11 · derivative.exercise_date: RSUs awarded on November 2, 2015 that vest in three substantially equal installments on November 15, 2016, 2017 and 2018. F11 · derivative.expiration_date: RSUs awarded on November 2, 2015 that vest in three substantially equal installments on November 15, 2016, 2017 and 2018. F12 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | Exercise / conversionRestricted Stock Units · Derivative | 12,537 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · derivative · entry 9 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,537 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F10 · derivative.exercise_date: 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 12,537 RSUs vested. F10 · derivative.expiration_date: 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 12,537 RSUs vested. F12 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | GrantRestricted Stock Units · Derivative | 12,537 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · derivative · entry 8 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,537 Underlying: Common Stock · 12,537 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F9 · derivative.exercise_date: 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 12,537 RSUs were earned. F9 · derivative.expiration_date: 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 12,537 RSUs were earned. F12 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | Exercise / conversionRestricted Stock Units · Derivative | 5,058 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · derivative · entry 7 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,057 Underlying: Common Stock · 5,058 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F8 · derivative.exercise_date: RSUs awarded on November 10, 2014 that vest in three substantially equal installments on November 15, 2015, 2016 and 2017. F8 · derivative.expiration_date: RSUs awarded on November 10, 2014 that vest in three substantially equal installments on November 15, 2015, 2016 and 2017. F12 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | Exercise / conversionRestricted Stock Units · Derivative | 3,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · derivative · entry 6 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,388 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F7 · derivative.exercise_date: 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 3,388 RSUs vested. F7 · derivative.expiration_date: 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 3,388 RSUs vested. F12 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | GrantRestricted Stock Units · Derivative | 3,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · derivative · entry 5 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,388 Underlying: Common Stock · 3,388 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F6 · derivative.exercise_date: 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 3,388 RSUs were earned. F6 · derivative.expiration_date: 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 3,388 RSUs were earned. F12 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | Exercise / conversionRestricted Stock Units · Derivative | 11,660 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · derivative · entry 4 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,660 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F5 · derivative.exercise_date: RSUs awarded on November 11, 2013 that vested in three substantially equal annual installments on November 15, 2014, 2015 and 2016. F5 · derivative.expiration_date: RSUs awarded on November 11, 2013 that vested in three substantially equal annual installments on November 15, 2014, 2015 and 2016. F12 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | Tax withholdingCommon Stock | 16,786 | $47.53 | $797,838.58 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · nonDerivative · entry 2 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,232 F1 · shares: Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 40,018 shares of the Reporting Person's restricted stock unit awards on November 15, 2016. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 21:41 UTC | PTC INC. PTC · Entity 3317 | Exercise / conversionCommon Stock | 40,018 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008539 · issuerdirect_section16.xml · nonDerivative · entry 1 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,018 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 20:36 UTC | PTC INC. PTC · Entity 3317 | GrantRestricted Stock Units · Derivative | 21,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008459 · issuerdirect_section16.xml · derivative · entry 1 Gremley Robert C · CIK 0001458678 · EVP, Group President TPG 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,079 Underlying: Common Stock · 21,079 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. F2 · derivative.exercise_date: Service-based restricted stock units that vest in three substantially equal installments on each of November 15, 2017, 2018 and 2019. F2 · derivative.expiration_date: Service-based restricted stock units that vest in three substantially equal installments on each of November 15, 2017, 2018 and 2019. F3 · balance_after: This amount represents the total number of derivative securities beneficially owned of the class shown. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.