SEC Form 4 · accession 0001179110-16-030772
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ellen Chiniara
Officer — GC, Chief Ethics Officer&Sec
Period of report
Oct 14, 2016
Accepted (ET)
Oct 18, 2016 · 5:40 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 Stock | Oct 14, 2016 | M | 3,500 | $37.74 | A | 18,920 | D | |
| Common Stock | Oct 14, 2016 | M | 7,096 | $37.74 | A | 26,016 | D | |
| Common StockF3 | Oct 14, 2016 | F | 6,235 | $42.95 | D | 19,781 | D | |
| Common Stock | Oct 14, 2016 | M | 9,404 | $37.74 | A | 29,185 | D | |
| Common StockF3 | Oct 14, 2016 | F | 8,263 | $42.95 | D | 20,922 | D | |
| Common Stock | Oct 14, 2016 | M | 5,000 | $37.74 | A | 25,922 | D | |
| Common StockF3 | Oct 14, 2016 | F | 4,393 | $42.95 | D | 21,529 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2,F1,F4 | $37.74 | Oct 14, 2016 | M | 3,500 | D | — | Oct 15, 2016 | Common Stock | 3,500 | 7,096 | D |
| Employee Stock Option (right to buy)F2,F1,F4 | $37.74 | Oct 14, 2016 | M | 7,096 | D | — | Oct 15, 2016 | Common Stock | 7,096 | 0 | D |
| Employee Stock Option (right to buy)F2,F1,F4 | $37.74 | Oct 14, 2016 | M | 9,404 | D | — | Oct 15, 2016 | Common Stock | 9,404 | 0 | D |
| Employee Stock Option (right to buy)F2,F1,F4 | $37.74 | Oct 14, 2016 | M | 5,000 | D | — | Oct 15, 2016 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1These options became exercisable in four equal annual installments beginning October 16, 2007.
- F2This derivative security does not have a price.
- F3Represents withholding of shares of Company common stock to satisfy exercise price and tax liability associated with exercise of stock options shown above.
- F4The Options were scheduled to expire on October 15, 2016.