SEC Form 4 · accession 0001179110-15-001059
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Carla Flakne
Officer — VP, Chief Accounting Officer
Period of report
Jan 16, 2015
Accepted (ET)
Jan 20, 2015 · 4:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001145460
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 7, 2014 | G | 380 | $0.00 | D | 3,011 | D | |
| Common StockF2,F3 | Jan 16, 2015 | M | 10,000 | $23.15 | A | 13,252 | D | |
| Common StockF2,F4 | Jan 16, 2015 | S | 10,000 | $42.445 | D | 3,252 | D | |
| Common StockF7 | holding | — | — | — | 462 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2,F6,F5 | $23.15 | Jan 16, 2015 | M | 10,000 | D | — | Dec 14, 2015 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Includes 248 shares acquired under the Alere Inc. Employee Stock Purchase Plan on June 30, 2014.
- F2The transactions reported on this Form were made pursuant to a written 10b5-1 trading plan adopted in accordance with SEC Rule 10b5-1. Represents same day exercise and sale of expiring stock options.
- F3Includes 241 shares acquired under the Alere Inc. Employee Stock Purchase Plan on December 31, 2014.
- F4The price reported is a weighted average price. These shares were sold in approximately 68 separate transactions at prices ranging from $41.81 to $42.82, inclusive. The reporting person hereby undertakes to provide to the SEC, the issuer or any stockholder of the issuer, upon request, the full information regarding the number of shares and prices at which the transaction was effected.
- F5Option vested in four equal installments on 12/14/06, 12/14/07, 12/14/08 and 12/14/09.
- F6This derivative security does not have a price.
- F7These securities are owned by the 2012 Flakne Family Trust, for which the reporting person & her spouse are the trustees.