SEC Form 4 · accession 0001179110-17-010145
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carol R Goldberg
Director
Period of report
Jun 30, 2017
Accepted (ET)
Jul 5, 2017 · 9:15 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 | 40,614 | D | |
| Common StockF3 | holding | — | — | — | 25,627 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 2,304 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 16,666 | 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 Carol R. Goldberg Qualified Annuity Trust - 2014, of which the reporting person is the trustee.
- F4These securities are held by the Avram J. Goldberg and Carol R. Goldberg Charitable Remainder Unitrust, of which the reporting person and her spouse are the trustees.
- F5These shares are owned by the Sydney R. Rabb Trust f/b/o Carol R. Goldberg, of which the reporting person, along with another unrelated individuals, are the trustees.