SEC Form 4 · accession 0001234773-16-000005
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Prescott
Director
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 5:49 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 Stock | Nov 10, 2016 | M | 13,125 | $20.79 | A | 124,378 | D | |
| Common StockF1 | Nov 10, 2016 | S | 24,494 | $90.18 | D | 99,884 | D | |
| Common StockF2 | Nov 14, 2016 | S | 8,631 | $91.81 | D | 91,253 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Right to Buy (Common Stock) | $20.79 | Nov 10, 2016 | M | 13,125 | D | Feb 18, 2012 | Feb 18, 2018 | Common Stock | 13,125 | 0 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $92.14, inclusive. The reporting person undertakes to provide Align Technology, Inc., any security holder of Align Technology, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.61 to $91.52, inclusive. The reporting person undertakes to provide Align Technology, Inc., any security holder of Align Technology, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.