SEC Form 4 · accession 0001649020-18-000002
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Lacob
Director
Period of report
May 11, 2018
Accepted (ET)
May 14, 2018 · 6:34 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 11, 2018 | M | 10,000 | $24.21 | A | 306,264 | I | Trust for reporting person |
| Common StockF1 | May 11, 2018 | S | 9,432 | $285.7844 | D | 296,832 | I | Trust for reporting person |
| Common StockF2 | May 11, 2018 | S | 568 | $286.4455 | D | 296,264 | I | Trust for reporting person |
| Common Stock | May 14, 2018 | M | 10,000 | $11.81 | A | 306,264 | I | Trust for reporting person |
| Common Stock | May 14, 2018 | S | 10,000 | $293.00 | D | 296,264 | I | Trust for reporting person |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to buy) | $24.21 | May 11, 2018 | M | 10,000 | D | May 23, 2012 | May 19, 2018 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy) | $11.81 | May 14, 2018 | M | 10,000 | D | May 20, 2010 | May 21, 2019 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $285.6818 to $286.29, inclusive. The reporting person undertakes to provide Align Technology, Inc., any security holder of Align Technology, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $286.02 to $286.735, inclusive. The reporting person undertakes to provide Align Technology, Inc., any security holder of Align Technology, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.