SEC Form 4 · accession 0001179110-16-019595
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
Dec 31, 2015
Accepted (ET)
Feb 18, 2016 · 5:29 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 Stock | Dec 31, 2015 | J | 232 | $33.2265 | A | 10,437 | D | |
| Common StockF5,F4 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Feb 16, 2016 | A | 21,706 | A | — | — | Common Stock | 21,706 | 21,706 | D |
| Restricted Stock UnitsF2,F3 | — | Feb 16, 2016 | A | 7,500 | A | — | — | Common Stock | 7,500 | 7,500 | D |
Explanation of responses
- F1These securities were acquired under the Alere Inc. Employee Stock Purchase Plan. These transactions, which are exempt from Section 16(b) by virtue of Rule 16b-3(c), are being voluntarily reported.
- F2Each restricted stock unit represents a contingent right to receive one share of Alere common stock.
- F3The restricted stock units will vest as follows: one-third on the first anniversary of the grant date (2/16/17); one-third on the second anniversary of the grant date (2/16/18); and one-third on the third anniversary of the grant date (2/16/19).
- F4These securities are owned by the reporting person's spouse.
- F5The reporting person hereby disclaims 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.