SEC Form 4 · accession 0001234778-17-000007
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C Raymond Larkin Jr.
Director
Period of report
Oct 31, 2017
Accepted (ET)
Nov 1, 2017 · 7:29 pm EDT
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 | May 17, 2017 | G | 214 | $0.00 | D | 83,348 | D | |
| Common Stock | Jul 6, 2017 | G | 40 | $0.00 | D | 83,308 | D | |
| Common Stock | Sep 20, 2017 | G | 27 | $0.00 | D | 83,281 | D | |
| Common Stock | Sep 25, 2017 | G | 27 | $0.00 | D | 83,281 | D | |
| Common Stock | Oct 12, 2017 | G | 53 | $0.00 | D | 83,201 | D | |
| Common Stock | Oct 31, 2017 | M | 15,000 | $20.79 | A | 98,201 | D | |
| Common StockF1 | Oct 31, 2017 | S | 15,000 | $238.82 | D | 83,201 | 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) | $2.079 | Oct 31, 2017 | M | 15,000 | D | Feb 18, 2012 | Feb 18, 2018 | Common Stock | 15,000 | 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 $237.70 to $239.40, 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.