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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | $ 0.0001 (1) | 02/20/2014 | 02/20/2014 | M | 4,125 | (2) | (2) | Common Stock | 4,125 | $ 0 | 8,250 | D | |||
Restricted Stock Unit | $ 0.0001 (1) | 02/20/2014 | 02/20/2014 | M | 6,413 | (3) | (3) | Common Stock | 6,413 | $ 0 | 19,237 | D | |||
Restricted Stock Unit | $ 0.0001 (1) | 02/20/2014 | 02/20/2014 | A | 14,100 | (4) | (4) | Common Stock | 14,100 | $ 0 | 14,100 | D | |||
Restricted Stock Unit | $ 0.0001 (1) | 02/20/2014 | 02/20/2014 | A | 7,800 | (5) | (5) | Common Stock | 7,800 | $ 0 | 7,800 | D | |||
Market Stock Unit | $ 0.0001 (1) | 02/20/2014 | 02/20/2014 | A | 21,150 | (6) | (6) | Common Stock | 21,150 | $ 0 | 21,150 | D | |||
Market Stock Unit | $ 0.0001 (1) | 02/20/2014 | 02/20/2014 | A | 11,700 | (6) | (6) | Common Stock | 11,700 | $ 0 | 11,700 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GEORGE ROGER E C/O ALIGN TECHNOLOGY INC. 2560 ORCHARD PARKWAY SAN JOSE, CA 95131 |
See Remarks |
/s/ Roger E. George | 02/24/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents par value of ALGN common stock. |
(2) | 1/4th of the restricted stock unit granted on February 20, 2012 became vested on February 20, 2014 and shares were delivered to reporting person on that date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date. |
(3) | 1/4th of the restricted stock unit granted on February 20, 2013 became vested on February 20, 2014 and shares were delivered to reporting person on that date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date. |
(4) | 1/4th of the restricted stock unit will become vested on February 20, 2015 and 1/4th of the restricted stock unit will vest annually thereafter. Shares will be delivered to reporting person on each vest date. |
(5) | 50% of the restricted stock unit will become vested on February 20, 2016 and 50% of the restricted stock unit will vest on February 20, 2017. Shares will be delivered to reporting person on each vest date. |
(6) | 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). |
Remarks: VP, Leg. Affairs & Gen. Counsel |