SEC Form 4 · accession 0001179110-15-012887
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Gladwell
Officer — Senior VP, Global Operations
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 StockF1 | Aug 31, 2015 | M | 5,000 | — | A | 5,000 | D | |
| Common Stock | Aug 31, 2015 | F | 2,349 | $51.97 | D | 2,651 | D | |
| Common StockF3 | Aug 31, 2015 | M | 3,000 | $19.15 | A | 5,651 | D | |
| Common StockF3 | Aug 31, 2015 | M | 2,500 | $18.91 | A | 8,151 | D | |
| Common StockF3 | Aug 31, 2015 | M | 5,000 | $27.97 | A | 13,151 | D | |
| Common StockF3 | Aug 31, 2015 | M | 12,263 | $26.06 | A | 25,414 | D | |
| Common StockF3 | Aug 31, 2015 | M | 4,750 | $25.68 | A | 30,164 | D | |
| Common StockF3,F10 | Aug 31, 2015 | S | 27,513 | $52.232 | D | 2,651 | 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 | 5,000 | D | — | — | Common Stock | 5,000 | 10,000 | D |
| Employee Stock Option (Right to Buy)F3,F9,F4 | $19.15 | Aug 31, 2015 | M | 3,000 | D | — | Oct 31, 2018 | Common Stock | 3,000 | 0 | D |
| Employee Stock Option (Right to Buy)F3,F9,F5 | $18.91 | Aug 31, 2015 | M | 2,500 | D | — | Dec 31, 2018 | Common Stock | 2,500 | 0 | D |
| Employee Stock Option (Right to Buy)F3,F9,F6 | $27.97 | Aug 31, 2015 | M | 5,000 | D | — | Aug 31, 2020 | Common Stock | 5,000 | 0 | D |
| Employee Stock Option (Right to Buy)F3,F9,F7 | $26.06 | Aug 31, 2015 | M | 12,263 | D | — | Oct 31, 2021 | Common Stock | 12,263 | 7,737 | D |
| Employee Stock Option (Right to Buy)F3,F9,F8 | $25.68 | Aug 31, 2015 | M | 4,750 | D | — | Apr 30, 2023 | Common Stock | 4,750 | 4,750 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Alere common stock.
- F10The price reported is a weighted average price. These shares were sold in approximately 253 separate transactions at prices ranging from $51.75 to $52.556, inclusive. The reporting person hereby undertakes to provide to the SEC, the issuer or any stockcholder of the issuer, upon request, the full information regarding the number of shares and prices at which the transaction was effected.
- F2On August 31, 2014, the reporting person was granted 15,000 restricted stock units, which vest as follows: 5,000 on the first anniversary of the grant date (8/31/15); 5,000 on the second anniversary of the grant date (8/31/16); and 5,000 on the third anniversary of the grant date (8/31/17).
- F3Represents same day exercise and sale of stock options.
- F4Option vested in four equal installments on 10/31/09, 10/31/10, 10/31/11 and 10/31/12.
- F5Option vested in four equal installments on 12/31/09, 12/31/10, 12/31/11 and 12/31/12.
- F6Option vested in four equal installments on 8/31/11, 8/31/12, 8/31/13 and 8/31/14.
- F7Option will vest in four equal installments on 10/31/12, 10/31/13, 10/31/14 and 10/31/15.
- F8Option will vest in four equal installments on 4/30/14, 4/30/15, 4/30/16 and 4/30/17.
- F9This derivative security does not have a price.