SEC Form 4 · accession 0001179110-15-012885
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carla Flakne
Officer — VP, Chief Accounting Officer
Period of report
Aug 31, 2015
Accepted (ET)
Sep 2, 2015 · 4:52 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 Stock | Jun 9, 2015 | G | 304 | $0.00 | D | 2,948 | D | |
| Common Stock | Jun 30, 2015 | J | 243 | $31.841 | A | 3,191 | D | |
| Common StockF1 | Aug 31, 2015 | M | 3,333 | — | A | 6,524 | D | |
| Common Stock | Aug 31, 2015 | F | 1,083 | $51.97 | D | 5,441 | D | |
| Common StockF4 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Aug 31, 2015 | M | 3,333 | D | — | — | Common Stock | 3,333 | 6,667 | 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 10,000 restricted stock units, which vest as follows: 3,333 on the first anniversary of the grant date (8/31/15); 3,333 on the second anniversary of the grant date (8/31/16); and 3,334 on the third anniversary of the grant date (8/31/17).
- F3These securities were acquired under the Alere Inc. Employee Stock Purchase Plan. These transactions, which are exempt from Section 16(b) by virtue of Rule 16-3(c), are being voluntarily reported.
- F4These securities are owned by the 2012 Flakne Family Trust, for which the reporting person & her spouse are the trustees.