SEC Form 4 · accession 0000899243-15-010297
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher C. Puco
Officer — VP, No. American Sales
Period of report
Dec 21, 2015
Accepted (ET)
Dec 22, 2015 · 4:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001097149
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 21, 2015 | M | 10,000 | $0.00 | A | 10,287 | D | |
| Common Stock | Dec 21, 2015 | F | 4,300 | $64.16 | D | 5,987 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F3 | $0.0001 | Dec 21, 2015 | M | 10,000 | D | — | — | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Includes 287 shares issued under the ALGN Employee Stock Purchase Plan on July 31, 2015.
- F2Represents par value of ALGN common stock
- F31/4th of the restricted stock unit granted on January 3, 2013 became vested on December 20, 2015 and shares were delivered to reporting person on December 21, 2015. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.