SEC Form 4 · accession 0001689552-17-000002
ALIGN TECHNOLOGY INC · ALGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Morici
Officer — Chief Financial Officer
Period of report
Nov 20, 2017
Accepted (ET)
Nov 21, 2017 · 6:08 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 StockF1 | Nov 20, 2017 | M | 4,709 | $0.00 | A | 4,966 | D | |
| Common Stock | Nov 20, 2017 | F | 1,922 | $255.51 | D | 3,044 | 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 | Nov 20, 2017 | M | 4,709 | D | — | — | Common Stock | 4,709 | 14,126 | D |
Explanation of responses
- F1Includes 257 shares issued under the ALGN ESPP on July 31, 2017.
- F2Represents par value of ALGN common stock.
- F31/4th of the restricted stock unit granted on November 20, 2016 became vested on November 20, 2017 and shares were delivered to reporting person on such vest date. 1/4th of the restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.