SEC Form 4 · accession 0001179110-16-031095
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Namal Nawana
Officer — Chief Executive Officer · Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 7:17 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 StockF1 | Oct 31, 2016 | M | 16,667 | — | A | 126,892 | D | |
| Common StockF3 | Oct 31, 2016 | F | 7,850 | $44.68 | D | 119,042 | 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 | — | Oct 31, 2016 | M | 16,667 | D | — | — | Common Stock | 16,667 | 16,667 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Alere common stock.
- F2On October 31, 2014, Mr. Nawana was granted 50,000 restricted stock units, which vest as follows: one third on the first anniversary of the grant date (10/31/15); one-third on the second anniversary of the grant date (10/31/16); and one-third on the third anniversary of the grant date (10/31/17).
- F3Indicates amount withheld to cover tax liabilities arising incident to the vesting of a security issued in accordance with Rule 16b-3.