SEC Form 4 · accession 0001288257-18-000008
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Prescott
Director
Period of report
May 16, 2018
Accepted (ET)
May 18, 2018 · 5:54 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 16, 2018 | M | 3,115 | $0.00 | A | 143,514 | 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 UnitF1,F2 | $0.0001 | May 16, 2018 | M | 3,115 | D | — | — | Common Stock | 3,115 | 0 | D |
| Restricted Stock UnitF1,F3 | $0.0001 | May 16, 2018 | A | 1,042 | A | — | — | Common Stock | 1,042 | 1,042 | D |
Explanation of responses
- F1Represents par value of ALGN common stock.
- F2100% of the restricted stock unit granted on May 17, 2017 became vested on May 16, 2018 and shares were delivered to reporting person.
- F3100% of the restricted stock unit granted on May 16, 2018 will become vested on the earlier of (i) May 16, 2019 or (ii) the date of the 2019 annual meeting of stockholders. Shares will be delivered to reporting person on the vest date.