SEC Form 4 · accession 0001179110-17-009223
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
Jan 15, 2017
Accepted (ET)
Jun 16, 2017 · 6:50 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 | Jan 15, 2017 | M | 50,000 | — | A | 169,042 | D | |
| Common Stock | Jan 15, 2017 | F | 23,525 | $39.89 | D | 145,517 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF1,F2 | — | Jan 15, 2017 | M | 50,000 | D | — | — | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Each performance stock unit represents a contingent right to receive one share of Alere common stock.
- F2The performance stock units were awarded pursuant to a performance restricted stock unit agreement on February 3, 2016, and will vest as follows: one-third on the first anniversary of the grant date (2/03/16), one-third on 1/15/17 and one-third on 1/15/18 to the extent that certain performance conditions related to the price of the Company's common stock have been met.