SEC Form 4 · accession 0001179110-17-012027
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sanjay Malkani
Officer — Global Pres., Toxicology
Period of report
Aug 31, 2017
Accepted (ET)
Sep 5, 2017 · 7:32 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 | Aug 31, 2017 | M | 6,667 | — | A | 30,795 | D | |
| Common Stock | Aug 31, 2017 | F | 2,038 | $49.46 | D | 28,757 | D | |
| Common StockF3,F4 | holding | — | — | — | 565 | I | See footnote 4. |
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 | — | Aug 31, 2017 | M | 6,667 | D | — | — | Common Stock | 6,667 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Alere common stock.
- F2On August 31, 2014, the reporting person was granted 20,000 restricted stock units, which vest as follows: 6,666 on the first anniversary of the grant date (8/31/15); 6,667 on the second anniversary of the grant date (8/31/16); and 6,667 on the third anniversary of the grant date (8/31/17).
- F3These securities are owned by the reporting person's spouse.
- F4The reporting person hereby disclaims ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purpose of Section 16.