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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 | ||||||||
Right to buy (Common Stock) | $ 22.67 | 05/23/2007 | 05/23/2007 | A | 10,000 | (1) | 05/23/2017 | Common Stock | 10,000 | $ 0 | 10,000 | D | |||
Restricted Stock Unit | $ 0.0001 (2) | 05/23/2007 | 05/23/2007 | A | 3,000 | (3) | 05/23/2017 | Common Stock | 3,000 | $ 0 | 3,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thaler Warren S C/O ALIGN TECHNOLOGY, INC. 881 MARTIN AVE. SANTA CLARA, CA 95050 |
X |
Roger E. George as Attorney in Fact by and behalf of Warren S. Thaler | 05/24/2007 | |
**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 an option in which all of the shares subject to the option shall become vested and exercisable on the earlier of (i) one year after the date of grant or (ii) the date of the ALGN Annual Meeting of Stockholders to be held in 2008. |
(2) | Represents the par value of ALGN Common Stock |
(3) | All of the shares subject to the Restricted Stock Unit shall become vested and exercisable on the earlier of (i) one year after the date of grant or (ii) the date of the ALGN Annual Meeting of Stockholders to be held in 2008. Vested shares will be delivered to Reporting Person on the vest date. |