0000899243-16-014205.txt : 20160224 0000899243-16-014205.hdr.sgml : 20160224 20160224160644 ACCESSION NUMBER: 0000899243-16-014205 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160220 FILED AS OF DATE: 20160224 DATE AS OF CHANGE: 20160224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALIGN TECHNOLOGY INC CENTRAL INDEX KEY: 0001097149 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 943267295 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2560 ORCHARD PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 4087381500 MAIL ADDRESS: STREET 1: 2560 ORCHARD PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Erfurth Jennifer CENTRAL INDEX KEY: 0001496331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32259 FILM NUMBER: 161451991 MAIL ADDRESS: STREET 1: C/O ALIGN TECHNOLOGY, INC. STREET 2: 2560 ORCHARD PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-20 0 0001097149 ALIGN TECHNOLOGY INC ALGN 0001496331 Erfurth Jennifer C/O ALIGN TECHNOLOGY INC. 2560 ORCHARD PARKWAY SAN JOSE CA 95131 0 1 0 0 VP, Global HR Common Stock 2016-02-20 2016-02-20 4 M 0 16950 0.00 A 17819 D Common Stock 2016-02-20 2016-02-20 4 F 0 7059 63.29 D 10760 D Restricted Stock Unit 0.0001 2016-02-20 2016-02-20 4 M 0 1500 0.00 D Common Stock 1500 1500 D Restricted Stock Unit 0.0001 2016-02-20 2016-02-20 4 M 0 2375 0.00 D Common Stock 2375 4750 D Restricted Stock Unit 0.0001 2016-02-20 2016-02-20 4 M 0 2450 0.00 D Common Stock 2450 2450 D Restricted Stock Unit 0.0001 2016-02-20 2016-02-20 4 M 0 1625 0.00 D Common Stock 1625 4875 D Market Stock Unit 0.0001 2016-02-20 2016-02-20 4 M 0 9000 0.00 D Common Stock 9000 0 D Restricted Stock Unit 0.0001 2016-02-20 2016-02-20 4 A 0 7000 0.00 A Common Stock 7000 7000 D Market Stock Unit 0.0001 2016-02-20 2016-02-20 4 A 0 10500 0.00 A Common Stock 10500 10500 D Includes 183 shares issued on January 29, 2016 under the ALGN ESPP. Represents par value of ALGN common stock. 1/4th of the restricted stock unit granted on February 20, 2013 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date. 1/4th of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date. 1/2 of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. 1/2 of the restricted stock unit will vest on February 20, 2017 and shares will be delivered to reporting person on such vest date. 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2016 and shares were delivered to reporting person on February 22, 2016. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date. Represents the maximum number of shares which may be issued under the market stock unit granted on February 20, 2013. 1/4th of the restricted stock unit granted on February 20, 2016 became vested on February 20, 2017 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date. 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). /s/ Roger E. George Atty-In-Fact for Jennifer Erfurth 2016-02-24