Heppelmann James E's Form 4 filing
PTC Inc. (PTC) · filed Nov 18, 2021
- Accession no.
- 0001654954-21-012436
- Filed
- Nov 18, 2021
- Trade date
- Nov 16-17, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.83M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Heppelmann James ECIK 0001186555 | Director, Officer (President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2021 | Common Stock | SSaleDisposed | −905 | $119.37F2 | −$108,029.85 | 828,607 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −3,921 | $120.41F3 | −$472,127.61 | 824,686 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −2,423 | $121.63F4 | −$294,709.49 | 822,263 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −3,027 | $122.61F5 | −$371,140.47 | 819,236 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −4,724 | $123.34F6 | −$582,658.16 | 814,512 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2021 | Common Stock | AGrant or awardAcquired | +20,896 | $0.00 | $0 | 20,896 | Direct | |
| Nov 17, 2021 | Common Stock | AGrant or awardAcquired | +20,896 | $0.00 | $0 | 20,896 | Direct | |
| Nov 17, 2021 | Common Stock | AGrant or awardAcquired | +41,792 | $0.00 | $0 | 41,792 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
This transaction was executed in multiple trades at prices ranging from $119.01 to $119.82. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $120.03 to $121.02. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $121.055 to $122.05. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was executed in multiple trades at prices ranging from $122.06 to $123.035. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F6
This transaction was executed in multiple trades at prices ranging from $123.08 to $123.685. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.