PMTC » Topics » How Much Stock is Owned by Directors and Officers?

This excerpt taken from the PMTC DEF 14A filed Jan 24, 2007.

How Much Stock is Owned by Directors and Officers?

The following table shows the PTC common stock beneficially owned by PTC’s directors and the executive officers named in the Summary Compensation Table, as well as all current directors and executive officers as a group, as of November 30, 2006.

 

    

Number of Shares

Beneficially Owned(1)(4)

  

Percentage of Common

Stock Outstanding(2)

 

Robert N. Goldman

   158,500    0.14 %

Donald K. Grierson

   122,000    0.11 %

Oscar B. Marx, III (5)

   138,540    0.12 %

Joseph M. O’Donnell

   32,400    0.03 %

Michael E. Porter

   308,600    0.27 %

Noel G. Posternak

   291,500    0.26 %

C. Richard Harrison (6)

   2,557,982    2.21 %

Barry F. Cohen

   829,774    0.72 %

Paul J. Cunningham

   978,769    0.85 %

James E. Heppelmann

   1,034,184    0.90 %

Cornelius F. Moses (7)

   455,772    0.40 %

All directors, nominees for director, and current executive officers as a group (13 persons)

   6,908,021    5.81 %

(1) This describes shares as beneficially owned based on information available to us and applicable regulations. This does not constitute an admission by any stockholder that he beneficially owns the shares listed. Unless otherwise indicated, each stockholder referred to above has sole voting and investment power over the shares listed.
(2) For purposes of determining the percentage of common stock outstanding, the number of shares deemed outstanding includes the 113,920,522 shares outstanding as of November 30, 2006 and any shares subject to options held by the person or entity in question that are exercisable on or before January 29, 2007.
(3) As reported on Schedule 13G filed with the Securities and Exchange Commission on January 26, 2006, Barclays Global Investors, NA, which stated that it is a bank, and certain of its bank and investment management affiliates, reported sole voting power over a total of 9,890,511 of such shares and sole dispositive power over all such shares, which were reported to be held in trust accounts for the benefit of others. On January 10, 2006, certain other bank and investment management affiliates of Barclays Global Investors, NA filed a Schedule 13G/A reporting beneficial ownership of 144,668 shares.
(4)

The amounts listed include the following shares of common stock that may be acquired on or before January 29, 2007 through the exercise of options: Mr. Goldman, 110,500 shares; Mr. Grierson, 98,000

 

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shares; Mr. Marx, 108,000 shares; Mr. O’Donnell, 10,000 shares; Mr. Porter, 205,700 shares; Mr. Posternak, 187,500 shares; Mr. Harrison, 1,859,996 shares; Mr. Cohen, 648,002 shares; Mr. Cunningham, 796,997 shares; Mr. Heppelmann, 765,198 shares; Mr. Moses, 270,000 shares; and all directors and current executive officers as a group, 5,059,893 shares.

(5) 40 shares are held by Mr. Marx’s spouse as custodian for a minor relative.
(6) 6,623 shares are held jointly by Mr. Harrison with his spouse.
(7) 4,000 shares are held jointly by Mr. Moses with his spouse.
This excerpt taken from the PMTC DEF 14A filed Jan 17, 2006.

How Much Stock is Owned by Directors and Officers?

 

The following table shows the PTC common stock beneficially owned by PTC’s directors and the executive officers named in the Summary Compensation Table, as well as all current directors and executive officers as a group, as of November 30, 2005.

 

     Number of Shares
Beneficially Owned(1)(5)


   Percentage of Common
Stock Outstanding(2)


Robert N. Goldman

   351,250    0.13%

Donald K. Grierson

   291,250    0.10%

Oscar B. Marx, III (6)

   291,350    0.10%

Joseph M. O’Donnell

   38,500    0.01%

Michael E. Porter

   736,250    0.26%

Noel G. Posternak

   622,500    0.22%

C. Richard Harrison (7)

   5,538,683    1.97%

Barry F. Cohen

   1,881,378    0.67%

Paul J. Cunningham

   2,208,880    0.79%

James E. Heppelmann

   2,235,428    0.80%

Cornelius F. Moses (8)

   854,711    0.31%

All directors, nominees for director, and current executive officers as a group (13 persons)

   16,149,841    5.59%

(1)   This describes shares as beneficially owned based on information available to us and applicable regulations. This does not constitute an admission by any stockholder that he beneficially owns the shares listed. Unless otherwise indicated, each stockholder referred to above has sole voting and investment power over the shares listed.
(2)   For purposes of determining the percentage of common stock outstanding, the number of shares deemed outstanding includes the 277,398,787 shares outstanding as of November 30, 2005 and any shares subject to options held by the person or entity in question that are exercisable on or before January 29, 2006.
(3)   As reported on Schedule 13G filed with the Securities and Exchange Commission on May 10, 2005, Barclays Global Investors, NA, which stated that it is a bank, and certain of its bank and investment management affiliates, reported sole voting power over a total of 24,849,443 of such shares and sole dispositive power over all such shares, which were reported to be held in trust accounts for the benefit of others. On January 10, 2006, certain of those bank and investment management affiliates filed a Schedule 13G/A reporting beneficial ownership of 361,671 shares.

 

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(4)   As reported on Schedule 13G filed with the Securities and Exchange Commission on February 7, 2005, Cooke & Bieler, L.P., which stated that it is a registered investment adviser, reported that it had sole voting and dispositive power over none of such shares, shared voting power over 11,495,721 of such shares, and shared dispositive power over 19,100,317 of such shares.
(5)   The amounts listed include the following shares of common stock that may be acquired on or before January 29, 2006 through the exercise of options: Mr. Goldman, 261,250 shares; Mr. Grierson, 261,250 shares; Mr. Marx, 255,000 shares; Mr. O’Donnell, 12,500 shares; Mr. Porter, 519,250 shares; Mr. Posternak, 422,500 shares; Mr. Harrison, 3,933,334 shares; Mr. Cohen, 1,461,667 shares; Mr. Cunningham, 1,789,169 shares; Mr. Heppelmann, 1,604,667 shares; Mr. Moses, 425,000 shares; and all directors and current executive officers as a group, 11,574,463 shares.
(6)   100 shares are held by Mr. Marx’s spouse as custodian for a minor relative.
(7)   16,560 shares are held jointly by Mr. Harrison with his spouse.
(8)   10,000 shares are held jointly by Mr. Moses with his spouse.

 

This excerpt taken from the PMTC DEF 14A filed Jan 28, 2005.

How Much Stock is Owned by Directors and Officers?

 

The following table shows the PTC common stock beneficially owned by PTC’s directors and the executive officers named in the Summary Compensation Table, as well as all current directors and executive officers as a group, as of November 30, 2004.

 

     Number of Shares
Beneficially Owned(1)(6)


   Percentage of Common
Stock Outstanding(2)


Robert N. Goldman

        267,500    *

Donald K. Grierson

        207,500    *

Oscar B. Marx, III (7)

        291,350    *

Joseph M. O’Donnell

                   0    *

Michael E. Porter

        777,400    *

Noel G. Posternak

        462,500    *

C. Richard Harrison (8)

     6,802,673    2.46%

Barry F. Cohen

     1,481,046     .54%

Paul J. Cunningham

     1,612,836     .59%

Anthony DiBona (9)

        437,044    *

James E. Heppelmann

     1,631,216    .60%

Cornelius F. Moses (10)

        185,000    *

All directors, nominees for director, and current executive officers as a group (13 persons)

   14,290,581    5.04%

 * Less than 1% of outstanding shares of common stock.

(1)   This describes shares as beneficially owned based on information available to us and applicable regulations. This does not constitute an admission by any stockholder that he or she beneficially owns the shares listed. Unless otherwise indicated, each stockholder referred to above has sole voting and investment power over the shares listed.
(2)   For purposes of determining the percentage of common stock outstanding, the number of shares deemed outstanding includes the 270,423,259 shares outstanding as of November 30, 2004 and any shares subject to options held by the person or entity in question that are exercisable on or before January 29, 2005.

 

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(3)   As reported on Schedule 13G filed with the Securities and Exchange Commission on January 27, 2004. Merrill Lynch & Co., Inc., a holding company for certain asset management subsidiaries that, it stated, hold such shares, stated that it had shared voting and dispositive power over all such shares. The Schedule 13G also reported that Master Small Cap Value Trust, 800 Scudders Mill Road, Plainsboro, NJ 08536, had shared voting and dispositive power over 17,822,600 shares (6.6% of the class).
(4)   As reported on Schedule 13G filed with the Securities and Exchange Commission on February 5, 2004. Mellon Financial Corporation (“MFC”) is a holding company for certain banks and asset management subsidiaries that, it stated, beneficially own such shares in their fiduciary capacities. MFC stated that, of such shares, it had sole voting power over 15,841,227, sole dispositive power over 19,205,236, and shared voting and dispositive power over 252,420. In the Schedule 13G, two of those subsidiaries, Mellon Trust of New England, NA, and The Boston Company, Asset Management, LLC (both with the same address as MFC), also reported direct or indirect beneficial ownership of 13,918,980 (5.2% of the class) of such shares, of which each reported sole voting power over 10,747,120, sole dispositive power over 13,900,520, and shared voting and dispositive power over 18,460.
(5)   In its Schedule 13G filed on February 10, 2004, Cooke & Bieler, L.P., which stated that it is a registered investment adviser, reported that it had sole voting and dispositive power over 4,216,825 of such shares, shared voting power over 9,195,854 of such shares, and shared dispositive power over 12,419,884 of such shares.
(6)   The amounts listed include the following shares of common stock that may be acquired on or before January 29, 2005 through the exercise of options: Mr. Goldman, 207,500 shares; Mr. Grierson, 207,500 shares; Mr. Marx, 291,250 shares; Prof. Porter, 699,000 shares; Mr. Posternak, 322,500 shares; Mr. Harrison, 6,416,007 shares; Mr. Cohen, 1,481,046 shares; Mr. Cunningham, 1,612,836 shares; Mr. DiBona, 431,042 shares; Mr. Heppelmann, 1,363,654 shares; Mr. Moses, 175,000 shares; and all directors and current executive officers as a group, 13,341,252 shares.
(7)   100 shares are held by Mr. Marx’s spouse as custodian for a minor relative.
(8)   16,560 shares are held jointly by Mr. Harrison with his spouse.
(9)   6,000 shares are held by a family trust as to which Mr. DiBona has sole voting and investment control.
(10)   10,000 shares are held jointly by Mr. Moses with his spouse.

 

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