Statement of Changes in Beneficial Ownership (4)
June 07 2021 - 6:12PM
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
*
HOGAN JOSEPH 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 __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
C/O ALIGN TECHNOLOGY INC., 410 NO. SCOTTSDALE RD., SUITE 1300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/4/2021 |
(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 | 6/4/2021 | | M | | 129300 | A | $0.00 | 273232 | D | |
Common Stock | 6/4/2021 | | F | | 61125 | D | $582.35 | 212107 | D | |
Common Stock | | | | | | | | 1500 | I | By Spouse (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 |
Market Stock Unit | $0.0001 (2) | 6/4/2021 | | M | | | 129300 | (3) | (3) | Common Stock | 129300 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | These securities are held directly by the spouse of the Reporting Person. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or any other purpose. |
(2) | Represents par value of ALGN common stock. |
(3) | The market stock unit granted on June 22, 2018 became vested on June 4, 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 |
HOGAN JOSEPH M C/O ALIGN TECHNOLOGY INC. 410 NO. SCOTTSDALE RD., SUITE 1300 TEMPE, AZ 85281 | X |
| President and CEO |
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Signatures
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/s/ Julie Ann Coletti Attorney-in-Fact for Joseph Hogan | | 6/7/2021 |
**Signature of Reporting Person | Date |
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