Filing Details
- Accession Number:
- 0000899243-17-005080
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-23 16:05:31
- Reporting Period:
- 2017-02-20
- Filing Date:
- 2017-02-23
- Accepted Time:
- 2017-02-23 16:05:31
- 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 | Yes | No | 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 | 2017-02-20 | 181,000 | $0.00 | 272,253 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-20 | 54,344 | $101.77 | 217,909 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-02-21 | 22,500 | $101.82 | 195,409 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-22 | 44,028 | $100.76 | 151,381 | 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 | 2017-02-20 | 13,750 | $0.00 | 13,750 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2017-02-20 | 10,000 | $0.00 | 10,000 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2017-02-20 | 10,000 | $0.00 | 10,000 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2017-02-20 | 12,250 | $0.00 | 12,250 | $0.00 |
| Common Stock | Market Stock Unit | Disposition | 2017-02-20 | 45,000 | $0.00 | 45,000 | $0.00 |
| Common Stock | Market Stock Unit | Disposition | 2017-02-20 | 90,000 | $0.00 | 90,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 10,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 24,500 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct |
Footnotes
- The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.58 to $102.05, 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 price. These shares were sold in multiple transactions at prices ranging from $100.26 to $101.15, 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.
- Represents par value of ALGN common stock.
- 1/4th of the restricted stock unit granted on February 20, 2013 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017.
- 1/4th of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017. 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, 2017 and shares were delivered to reporting person on February 21, 2017.
- 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017. 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 issued under the market stock unit granted on February 20, 2014. Shares were delivered to reporting person on February 21, 2017.
- Represents the maximum number of shares issued under the market stock unit granted on February 20, 2014. Shares were delivered to reporting person on February 21, 2017.
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