SEC Form 4 · accession 0001689552-18-000002
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, 2018
Accepted (ET)
Nov 20, 2018 · 7:26 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, 2018 | M | 4,709 | $0.00 | A | 6,016 | D | |
| Common Stock | Nov 20, 2018 | F | 2,335 | $210.10 | D | 3,681 | 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, 2018 | M | 4,709 | D | — | — | Common Stock | 4,709 | 9,417 | D |
Explanation of responses
- F1Represents par value of ALGN common stock.
- F21/4th of the restricted stock unit granted on November 20, 2016 became vested on November 20, 2018 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.