SEC Form 4 · accession 0001496331-15-000001
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Erfurth
Officer — VP, Global Human Resources
Period of report
Oct 20, 2015
Accepted (ET)
Oct 21, 2015 · 4:59 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 StockF1 | Oct 20, 2015 | M | 10,000 | $0.00 | A | 10,704 | D | |
| Common Stock | Oct 20, 2015 | F | 3,820 | $61.98 | D | 6,884 | 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 | Oct 20, 2015 | M | 10,000 | D | — | — | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Includes 395 shares issued on July 31, 2015 under the ALGN ESPP.
- F2Represents par value of ALGN common stock.
- F31/4th of the restricted stock unit granted on November 1, 2012 became vested on October 20, 2015 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.