SEC Form 4 · accession 0001293595-15-000003
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Warren S Thaler
Director
Period of report
May 13, 2015
Accepted (ET)
May 14, 2015 · 6:03 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 13, 2015 | M | 5,500 | $0.00 | A | 50,100 | D | |
| Common StockF1 | holding | — | — | — | 88,584 | I | By Trust |
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 | May 13, 2015 | M | 5,500 | D | — | — | Common Stock | 5,500 | 0 | D |
| Restricted Stock UnitF2,F4 | $0.0001 | May 13, 2015 | A | 5,500 | A | — | — | Common Stock | 5,500 | 5,500 | D |
Explanation of responses
- F1Represents shares held by the Thaler Family Trust for which the spouse of the reporting person is the trustee.
- F2Represents par value of ALGN common stock
- F3100% of the restricted stock unit granted May 15,2014 became vested on May 13, 2015 and shares were delivered to reporting person on May 13, 2015.
- F4100% of the restricted stock unit will become vested upon the earlier of (I) one year after the date of grant or (ii) the date of issuer's annual meeting of stockholders to be held in 2016. Shares will be delivered to reporting person on the vest date.