UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 1,843 | $ 0 (1) | D | Â |
Restricted Stock Units | Â (3) | Â (3) | Common Stock | 4,918 | $ 0 (1) | D | Â |
Restricted Stock Units | Â (4) | Â (4) | Common Stock | 3,911 | $ 0 (1) | D | Â |
Restricted Stock Units | Â (5) | Â (5) | Common Stock | 3,911 | $ 0 (1) | D | Â |
Restricted Stock Units | Â (6) | Â (6) | Common Stock | 15,383 | $ 0 (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mitford Kathleen 140 KENDRICK STREET NEEDHAM, MA 02494 |
 |  |  EVP, Products |  |
/s/Catherine Gorecki by power of attorney filed 3/9/2018 | 03/09/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represents a contingent right to receive one share of PTC Inc. common stock. |
(2) | Time-based restricted stock units granted November 2, 2015 that vest as to 1,843 RSUs on November 15, 2018. |
(3) | Time-based restricted stock units granted on October 31, 2016 that vest as to 2,459 RSUs on each of November 15, 2018 and November 15, 2019. |
(4) | Time-based restricted stock units granted on November 15, 2017 that vest in three substantially equal installments on each of November 15, 2018, November 15, 2019 and November 15, 2020. |
(5) | Aspirational performance-based RSUs granted on November 15, 2017 that can only be earned to the extent the established performance criteria are met for the performance period ending September 30, 2018. Any RSUs earned will vest in three substantially equal installments on November 15, 2018, 2019 and 2020. |
(6) | Time-based restricted stock units granted on March 7, 2018 that vest in three substantially equal installments on March 15, 2019, 2020 and 2021. |