SEC Form 4 · accession 0001179110-16-019596
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
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 | 5,673 | 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 UnitsF2,F3 | — | Feb 16, 2016 | A | 4,246 | A | — | — | Common Stock | 4,246 | 4,246 | 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 2012 Flakne Family Trust, for which the reporting person & her spouse are the trustees.