SEC Form 4 · accession 0001596092-16-000004
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Tay
Officer — VP, Asia Pacific
Period of report
Nov 20, 2016
Accepted (ET)
Nov 22, 2016 · 5:12 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 20, 2016 | M | 1,250 | $0.00 | A | 4,354 | 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 | Nov 20, 2016 | M | 1,250 | D | — | — | Common Stock | 1,250 | 1,250 | D |
Explanation of responses
- F1Represents par value of ALGN common stock
- F21/4th of the restricted stock unit granted on November 20,2013 became vested on November 20, 2016 and shares were delivered to reporting person on November 21, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.