Statement of Changes in Beneficial Ownership (4)
May 21 2021 - 5:55PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Dallas Kevin J |
2. Issuer Name and Ticker or Trading Symbol
ALIGN TECHNOLOGY INC
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ALGN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ALIGN TECHNOLOGY INC., 410 NO. SCOTTSDALE ROAD, SUITE 1300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/19/2021 |
(Street)
TEMPE, AZ 85281
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/19/2021 | | M | | 1271 | A | $0.00 | 3608 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | $0.0001 (1) | 5/19/2021 | | M | | | 1271 | (2) | (2) | Common Stock | 1271 | $0.00 | 0 | D | |
Restricted Stock Unit | $0.0001 (1) | 5/19/2021 | | A | | 524 | | (3) | (3) | Common Stock | 524 | $0.00 | 524 | D | |
Explanation of Responses: |
(1) | Represents par value of ALGN common stock. |
(2) | 100% of the restricted stock unit granted on May 20, 2020 became vested on May 19, 2021 and shares were delivered to reporting person on such vest date. |
(3) | 100% of the restricted stock unit granted on May 19, 2021 will become vested on the earlier of (i) May 19, 2022 or (i) the date of the 2022 annual meeting of stockholders. Shares will be delivered to reporting person on the vest date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dallas Kevin J C/O ALIGN TECHNOLOGY INC. 410 NO. SCOTTSDALE ROAD, SUITE 1300 TEMPE, AZ 85281 | X |
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Signatures
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/s/ Julie Ann Coletti Attorney-in-Fact for Kevin Dallas | | 5/21/2021 |
**Signature of Reporting Person | Date |
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