SEC Form 4 · accession 0001179110-17-000380
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Avi Pelossof
Officer — GlobalPres, Infectious Disease
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 7:16 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 30, 2016 | M | 20,000 | $38.70 | A | 35,524 | D | |
| Common StockF3 | Dec 30, 2016 | F | 19,903 | $39.00 | D | 15,621 | D | |
| Common Stock | Dec 30, 2016 | M | 9,668 | $38.70 | A | 25,289 | D | |
| Common StockF3 | Dec 30, 2016 | F | 9,627 | $38.96 | D | 15,662 | D | |
| Common Stock | Dec 30, 2016 | M | 10,332 | $38.70 | A | 25,994 | D | |
| Common StockF3 | Dec 30, 2016 | F | 10,263 | $38.96 | D | 15,731 | 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 | $38.70 | Dec 30, 2016 | M | 20,000 | D | — | Jan 1, 2017 | Common Stock | 20,000 | 9,668 | D |
| Employee Stock Option (right to buy)F2,F1,F4 | $38.70 | Dec 30, 2016 | M | 9,668 | D | — | Jan 1, 2017 | Common Stock | 9,668 | 0 | D |
| Employee Stock Option (right to buy)F2,F1,F4 | $38.70 | Dec 30, 2016 | M | 10,332 | D | — | Jan 1, 2017 | Common Stock | 10,332 | 0 | D |
Explanation of responses
- F1These options became exercisable in four equal annual installments beginning January 1, 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 January 1, 2017.