SEC Form 4 · accession 0001179110-17-010144
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Levy
Director
Period of report
Jun 30, 2017
Accepted (ET)
Jul 5, 2017 · 9:14 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 | Jun 30, 2017 | M | 5,530 | — | A | 163,655 | D | |
| Common StockF3 | holding | — | — | — | 2,360 | I | See Footnote. | |
| Common StockF4 | holding | — | — | — | 5,201 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 1,007 | I | See Footnote. |
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 | — | Jun 30, 2017 | M | 5,530 | D | — | — | Common Stock | 5,530 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Alere common stock.
- F2The restricted stock units vested in full on June 30, 2017.
- F3These securities are held by the John Levy Family Trust, of which the reporting person is the trustee, for the benefit of the reporting person's children.
- F4These securities are held by Milton L. Levy Family Ltd., of which the reporting person is a limited partner.
- F5These securities are owned by the John Levy and Gail Rotherberg Charitable Remainder Unitrust, of which the reporting person is the trustee. The reporting person disclaims beneficial ownership of these securities.