SEC Form 4 · accession 0001179110-17-012035
ALERE INC. · ALR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniella Cramp
Officer — Global Pres., Cardiometabolic
Period of report
Aug 31, 2017
Accepted (ET)
Sep 5, 2017 · 7:51 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 | 30,552 | D | |
| Common Stock | Aug 31, 2017 | F | 2,505 | $49.46 | D | 28,047 | D | |
| Common Stock | Aug 31, 2017 | M | 8,308 | $48.14 | A | 36,355 | D | |
| Common StockF6 | Aug 31, 2017 | F | 8,086 | $49.46 | D | 28,269 | D | |
| Common Stock | Aug 31, 2017 | M | 1,692 | $48.14 | A | 29,961 | D | |
| Common StockF6 | Aug 31, 2017 | F | 1,663 | $49.46 | D | 28,298 | D | |
| Common StockF7 | holding | — | — | — | 275 | I | See footnote 7. |
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 |
| Employee Stock Option (right to buy)F5,F3,F4 | $48.14 | Aug 31, 2017 | M | 8,308 | D | — | Aug 31, 2017 | Common Stock | 8,308 | 0 | D |
| Employee Stock Option (right to buy)F5,F3,F4 | $48.14 | Aug 31, 2017 | M | 1,692 | D | — | Aug 31, 2017 | Common Stock | 1,692 | 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 options became exercisable in four equal annual installments beginning August 31, 2008.
- F4The Options were scheduled to expire on August 31, 2017.
- F5This derivative security does not have a price.
- F6Represents withholding of shares of Company common stock to satisfy exercise price and tax liability associated with exercise of stock options shown above.
- F7These securities are owned by the Cramp Family Trust for which the reporting person and her spouse are the trustees.