Filing Details
- Accession Number:
- 0001234773-14-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-10 16:53:41
- Reporting Period:
- 2014-02-06
- Filing Date:
- 2014-02-10
- Accepted Time:
- 2014-02-10 16:53:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1097149 | Align Technology Inc | ALGN | Orthopedic, Prosthetic & Surgical Appliances & Supplies (3842) | 943267295 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1234773 | M Thomas Prescott | C/O Align Technology Inc 2560 Orchard Parkway San Jose CA 95131 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-02-06 | 46,979 | $17.94 | 218,974 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-06 | 46,979 | $54.30 | 171,995 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-02-07 | 124,375 | $17.94 | 296,370 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-02-07 | 65,625 | $20.79 | 361,995 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-07 | 190,000 | $54.73 | 171,995 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Right to Buy (Common Stock) | Disposition | 2014-02-06 | 46,979 | $0.00 | 46,979 | $17.94 |
| Common Stock | Right to Buy (Common Stock) | Disposition | 2014-02-07 | 124,375 | $0.00 | 124,375 | $17.94 |
| Common Stock | Right to Buy (Common Stock) | Disposition | 2014-02-07 | 65,625 | $0.00 | 65,625 | $20.79 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 128,021 | 2011-02-19 | 2020-02-19 | No | 4 | M | Direct |
| 3,646 | 2011-02-19 | 2020-02-19 | No | 4 | M | Direct |
| 24,375 | 2012-02-18 | 2018-02-18 | No | 4 | M | Direct |
Footnotes
- Includes 122 shares acquired under the ALGN Employee Stock Purchase Plan on January 31, 2014.
- The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.30 to $54.32, inclusive. The reporting person undertakes to provide Align Technology, Inc., any security holder of Align Technology, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in column 4 is a weighted average exercise price. These shares were sold in multiple transactions at prices ranging from $54.30 to $55.07, inclusive. The reporting person undertakes to provide Align Technology, Inc., any security holder of Align Technology, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
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