SEC Form 4 · accession 0001179110-16-029622
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F. Hinrichs
Officer — Executive VP, CFO
Period of report
Sep 9, 2016
Accepted (ET)
Sep 13, 2016 · 5:25 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 StockF3,F1 | Sep 9, 2016 | M | 16,666 | — | A | 46,666 | 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 | — | Sep 9, 2016 | M | 16,666 | D | — | — | Common Stock | 16,666 | 33,334 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Alere common stock.
- F2The restricted units were awarded pursuant to a restricted stock unit on April 10, 2015, and will vest as follows: 16,666 on the first anniversary of the grant date (4/06/16); 16,667 on the second anniversary of the grant date (4/06/17); and 16,667 on the third anniversary of the grant date (4/06/18).
- F3Vesting of shares under the Alere 2010 Stock Option and Incentive Plan was suspended from March 1, 2016 until two business days after Alere's SEC filings became current. Shares vested on September 9, 2016 represent shares that otherwise would have vested during the suspension period.