0001140361-14-042536.txt : 20141117 0001140361-14-042536.hdr.sgml : 20141117 20141117183038 ACCESSION NUMBER: 0001140361-14-042536 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141115 FILED AS OF DATE: 20141117 DATE AS OF CHANGE: 20141117 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: Ranaldi Robert CENTRAL INDEX KEY: 0001519551 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18059 FILM NUMBER: 141229098 MAIL ADDRESS: STREET 1: 140 KENDRICK STREET CITY: NEEDHAM STATE: MA ZIP: 02494 4 1 doc1.xml FORM 4 X0306 4 2014-11-15 0 0000857005 PTC INC. PTC 0001519551 Ranaldi Robert 140 KENDRICK STREET NEEDHAM MA 02494 0 1 0 0 EVP Worldwide Sales Common Stock 2014-11-15 4 M 0 67355 0 A 100666 D Common Stock 2014-11-15 4 F 0 27910 37.90 D 72756 D Restricted Stock Units 2014-11-15 4 M 0 8400 0 D Common Stock 8400 0 D Restricted Stock Units 2014-11-15 4 M 0 12600 0 D Common Stock 12600 0 D Restricted Stock Units 2014-11-15 4 M 0 8209 0 D Common Stock 8209 0 D Restricted Stock Units 2014-11-15 4 M 0 12845 0 D Common Stock 12845 12845 D Restricted Stock Units 2014-11-15 4 M 0 9753 0 D Common Stock 9753 8477 D Restricted Stock Units 2014-11-15 4 M 0 7774 0 D Common Stock 7774 15546 D Restricted Stock Units 2014-11-15 4 M 0 7774 0 D Common Stock 7774 15546 D Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 67,355 shares of the Reporting Person's restricted stock unit awards on November 15, 2014. Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. Service-based RSUs awarded on November 1, 2011. These RSUs vested in three substantially equal annual installments, with the last installment vested on November 15, 2014. Performance-based RSUs awarded on November 1, 2011 that may be earned only to the extent the established performance criteria are met. The remaining half of these RSUs vested on November 15, 2014. Performance-based RSUs awarded on November 1, 2011 subject to subsequent service-based restrictions. These RSUs vested in three substantially equal annual installments, with the last installment vested on November 15, 2014. Service-based RSUs awarded on November 5, 2012. These RSUs vest in three substantially equal annual installments. The second installment vested on November 15, 2014 and the remaining installment will vest on November 15, 2015. Performance-based RSUs awarded on November 5, 2012 that may be earned only to the extent the established performance criteria for each of the three performance periods are met. The units for the second period were earned in full, including those units not earned in the first period, and vested on November 15, 2014. Up to all of the remaining units awarded will vest on the later of November 15, 2015 and the date the Compensation Committee determines the performance criteria have been achieved. Service-based RSUs awarded on November 11, 2013. These RSUs vest in three substantially equal annual installments. The first installment vested on November 15, 2014 and the remaining installments will vest on each of November 15, 2015 and November 15, 2016. Performance-based RSUs awarded on November 11, 2013 that may be earned only to the extent the established performance criteria for each of the three performance periods are met. The RSUs earned will vest as to (i) up to 34% of the units awarded on the later of November 15, 2014 and the date the Compensation Committee determines the performance criteria have been achieved, (ii) up to 33% of the units awarded, plus any not earned in the first period, on the later of November 15, 2015 and the date the Compensation Committee determines the performance criteria have been achieved, and (iii) up to all of the units awarded on the later of November 15, 2016 and the date the Compensation Committee determines the performance criteria have been achieved. This amount represents the total number of derivative securities beneficially owned of the class shown. Catherine Gorecki by power of attorney filed 4/29/2011 2014-11-17