SEC Form 4 · accession 0001649020-16-000008
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
Apr 20, 2016
Accepted (ET)
Apr 21, 2016 · 5:07 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 | Apr 20, 2016 | M | 3,000 | $0.00 | A | 9,108 | 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 | Apr 20, 2016 | M | 3,000 | D | — | — | Common Stock | 3,000 | 3,000 | D |
Explanation of responses
- F1Represents par value of ALGN common stock
- F21/4th of the restricted stock unit granted on April 1, 2013 became vested on April 20, 2016 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.