SEC Form 4 · accession 0001179110-16-029627
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
Sep 9, 2016
Accepted (ET)
Sep 13, 2016 · 6:07 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 StockF5,F1 | Sep 9, 2016 | M | 6,667 | — | A | 17,104 | D | |
| Common StockF3,F4 | holding | — | — | — | 565 | I | See footnote 4. |
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 | 6,667 | D | — | — | Common Stock | 6,667 | 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 20,000 restricted stock units, which vest as follows: 6,666 on the first anniversary of the grant date (8/31/15); 6,667 on the second anniversary of the grant date (8/31/16); and 6,667 on the third anniversary of the grant date (8/31/17).
- F3The 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.
- F4These securities are owned by the reporting person's spouse.
- F5Vesting 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.