SEC Form 4 · accession 0001179110-15-012883
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Melissa Guerdan
Officer — SVP, Global Quality & Reg.
Period of report
Aug 31, 2015
Accepted (ET)
Sep 2, 2015 · 4:51 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 | Aug 31, 2015 | M | 8,333 | — | A | 8,333 | D | |
| Common Stock | Aug 31, 2015 | F | 3,198 | $51.97 | D | 5,135 | D | |
| Common StockF3 | Sep 1, 2015 | M | 5,000 | $18.78 | A | 10,135 | D | |
| Common StockF3 | Sep 1, 2015 | S | 5,000 | $50.4825 | D | 5,135 | 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 UnitsF1,F2 | — | Aug 31, 2015 | M | 8,333 | D | — | — | Common Stock | 8,333 | 16,667 | D |
| Employee Stock Option (Right to Buy)F3,F5,F4 | $18.78 | Sep 1, 2015 | M | 5,000 | D | — | Aug 31, 2022 | Common Stock | 5,000 | 4,555 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Alere common stock.
- F2On August 31, 2014, the reporting person was granted 25,000 restricted stock units, which vest as follows: 8,333 on the first anniversary of the grant date (8/31/15); 8,333 on the second anniversary of the grant date (8/31/16); and 8,334 on the third anniversary of the grant date (8/31/17).
- F3The 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 stock options.
- F4Option will vest in four equal installments on 8/31/13, 8/31/14, 8/31/15 and 8/31/16.
- F5This derivative security does not have a price.