Statement of Changes in Beneficial Ownership (4)
May 21 2021 - 6:07PM
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
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PRESCOTT THOMAS M |
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 RD., 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 | 54129 | I | By Trust (1) |
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 (2) | 5/19/2021 | | M | | 1271 | | (3) | (3) | Common Stock | 1271 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | These shares are held by the Prescott Family Trust, Sierra South LLC TTEE. The Reporting Person and his spouse are the managers of the trustee and exercise voting and investment control over the shares. |
(2) | Represents par value of ALGN common stock. |
(3) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
PRESCOTT THOMAS M C/O ALIGN TECHNOLOGY INC. 410 NO. SCOTTSDALE RD., SUITE 1300 TEMPE, AZ 85281 | X |
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Signatures
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/s/Julia Ann Coletti Attorney-in-Fact for Thomas M Prescott | | 5/21/2021 |
**Signature of Reporting Person | Date |
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