Filing Details
- Accession Number:
- 0000899243-16-014207
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-02-24 16:07:03
- Reporting Period:
- 2016-02-20
- Filing Date:
- 2016-02-24
- Accepted Time:
- 2016-02-24 16:07:03
- 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 |
|---|---|---|---|---|---|---|---|
| 1564238 | C. Christopher Puco | C/O Align Technology Inc. 2560 Orchard Parkway San Jose CA 95131 | Vp, No. American Sales | No | 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 | 2016-02-20 | 19,975 | $0.00 | 26,253 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-02-20 | 8,562 | $63.29 | 17,691 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-02-22 | 5,700 | $64.00 | 11,991 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-02-22 | 578 | $64.07 | 11,413 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2016-02-20 | 2,100 | $0.00 | 2,100 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2016-02-20 | 1,500 | $0.00 | 1,500 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2016-02-20 | 2,875 | $0.00 | 2,875 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2016-02-20 | 3,250 | $0.00 | 3,250 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2016-02-20 | 1,250 | $0.00 | 1,250 | $0.00 |
| Common Stock | Market Stock Unit | Disposition | 2016-02-20 | 9,000 | $0.00 | 9,000 | $0.00 |
| Common Stock | Restricted Stock Unit | Acquisiton | 2016-02-20 | 8,500 | $0.00 | 8,500 | $0.00 |
| Common Stock | Market Stock Unit | Acquisiton | 2016-02-20 | 12,750 | $0.00 | 12,750 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 1,500 | No | 4 | M | Direct | ||
| 5,750 | No | 4 | M | Direct | ||
| 3,250 | No | 4 | M | Direct | ||
| 3,750 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 8,500 | No | 4 | A | Direct | ||
| 12,750 | No | 4 | A | Direct |
Footnotes
- Includes 291 shares issued on January 29, 2016 under the ALGN ESPP.
- Represents par value of ALGN common stock.
- 1/4th of the restricted stock unit granted on February 20, 2012 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.
- 1/4th of the restricted stock unit granted on February 20, 2013 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.
- 1/4th of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.
- 1/2 of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. 1/2 of the restricted stock unit will vest on February 20, 2017 and shares will be delivered to reporting person on such vest date.
- 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.
- Represents the maximum number of shares which may be issued under the market stock unit granted on February 20, 2013.
- 1/4th of the restricted stock unit granted on February 20, 2016 became vested on February 20, 2017 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.
- Represents the maximum number of shares which may be issued under the market stock unit. All of the shares which may be issued under the market stock unit will vest on the last day of the third year of the Performance Period (as defined in the market stock unit agreement).
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