SEC Form 4 · accession 0001179110-15-009330
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sanjay Malkani
Officer — Global Pres., Toxicology
Period of report
Jun 4, 2015
Accepted (ET)
Jun 8, 2015 · 4:48 pm EDT
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 | Jun 4, 2015 | M | 10,000 | $44.64 | A | 16,222 | D | |
| Common StockF1 | Jun 4, 2015 | M | 5,669 | $19.20 | A | 21,891 | D | |
| Common StockF1,F5 | Jun 4, 2015 | S | 15,669 | $52.182 | D | 6,222 | D | |
| Common StockF7,F6 | holding | — | — | — | 565 | 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)F1,F4,F2 | $44.64 | Jun 4, 2015 | M | 10,000 | D | — | Feb 12, 2018 | Common Stock | 10,000 | 25,000 | D |
| Employee Stock Option (Right to Buy)F1,F4,F3 | $19.20 | Jun 4, 2015 | M | 5,669 | D | — | Oct 31, 2022 | Common Stock | 5,669 | 44,331 | D |
Explanation of responses
- F1Represents same day exercise and sale of stock options.
- F2Option vested in four equal annual installments on 2/12/09, 2/12/10 and 2/12/11, 2/12/12.
- F3Option will vest in four equal annual installments on 10/31/13, 10/31/14, 10/31/15 and 10/31/16.
- F4The derivative security does not have a price.
- F5The price reported is a weighted average price. These shares were sold in approximately 14 separate transactions at prices ranging from $52.00 to $52.265, 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 affected.
- F6These securities are owned by the reporting person's spouse.
- F7The reporting person hereby disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purpose of Section 16.