0001354488-16-008543.txt : 20161117 0001354488-16-008543.hdr.sgml : 20161117 20161117165543 ACCESSION NUMBER: 0001354488-16-008543 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: HEPPELMANN JAMES E CENTRAL INDEX KEY: 0001186555 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18059 FILM NUMBER: 162005539 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 0001186555 HEPPELMANN JAMES E PTC INC. 140 KENDRICK STREET NEEDHAM MA 02494 1 1 President and CEO Common Stock 2016-11-15 4 M 0 156454 0 A 709635 D Common Stock 2016-11-15 4 F 0 73613 47.53 D 0 D Restricted Stock Units 2016-11-15 4 M 0 49232 0 D Common Stock 49232 0 D Restricted Stock Units 2016-11-15 4 A 0 14308 0 A Common Stock 14308 14308 D Restricted Stock Units 2016-11-15 4 M 0 14308 0 D Common Stock 14308 0 D Restricted Stock Units 2016-11-15 4 M 0 21356 0 D Common Stock 21356 21355 D Restricted Stock Units 2016-11-15 4 A 0 45055 0 A Common Stock 45055 45055 D Restricted Stock Units 2016-11-15 4 M 0 45055 0 D Common Stock 45055 0 D Restricted Stock Units 2016-11-15 4 M 0 26503 0 D Common Stock 26503 53004 D Tendered to Issuer to satisfy tax withholding obligations of Reporting Person incurred in connection with the vesting of 156,454 shares of the Reporting Person's restricted stock unit awards on November 15, 2016. 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 14,308 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 14,308 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 45,055 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 45,055 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