0000899243-19-004540.txt : 20190222 0000899243-19-004540.hdr.sgml : 20190222 20190222160527 ACCESSION NUMBER: 0000899243-19-004540 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190220 FILED AS OF DATE: 20190222 DATE AS OF CHANGE: 20190222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pascaud Raphael CENTRAL INDEX KEY: 0001596092 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32259 FILM NUMBER: 19625717 MAIL ADDRESS: STREET 1: 2560 ORCHARD PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 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: 2820 ORCHARD PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 408-470-1000 MAIL ADDRESS: STREET 1: 2820 ORCHARD PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-02-20 0 0001097149 ALIGN TECHNOLOGY INC ALGN 0001596092 Pascaud Raphael C/O ALIGN TECHNOLOGY INC. 2820 ORCHARD PARKWAY SAN JOSE CA 95131 0 1 0 0 CMO & Bus. Dev Common Stock 2019-02-20 4 M 0 26425 0.00 A 51512 D Common Stock 2019-02-20 4 F 0 12420 253.79 D 39092 D Market Stock Unit 0.0001 2019-02-20 4 M 0 18000 0.00 D Common Stock 18000 0 D Restricted Stock Unit 0.0001 2019-02-20 4 M 0 3000 0.00 D Common Stock 3000 0 D Restricted Stock Unit 0.0001 2019-02-20 4 M 0 3000 0.00 D Common Stock 3000 3000 D Restricted Stock Unit 0.0001 2019-02-20 4 M 0 1900 0.00 D Common Stock 1900 3800 D Restricted Stock Unit 0.0001 2019-02-20 4 M 0 525 0.00 D Common Stock 525 1575 D Restricted Stock Unit 0.0001 2019-02-20 4 A 0 1429 0.00 A Common Stock 1429 1429 D Market Stock Unit 0.0001 2019-02-20 4 A 0 7145 0.00 A Common Stock 7145 7145 D Represents par value of ALGN common stock. Represents the maximum number of shares issued under the market stock unit granted on February 20, 2016. Shares were delivered to reporting person on February 20, 2019.(3) 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2019 and shares were 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, 2019 and shares were delivered to reporting person on such vest date. 1/4th of the restricted stock unit granted on February 20, 2016 became vested on February 20, 2019 and shares were delivered to reporting person on such vest date. 1/4th of the restricted stock unit granted on February 20, 2017 became vested on February 20, 2019 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. 1/4th of the restricted stock unit granted on February 20, 2018 became vested on February 20, 2019 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. 1/4th of the restricted stock unit granted on February 20, 2019 will become vested on February 20, 2020 and shares will be 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). Roger E. George Atty-In-Fact for Rafael Pascaud 2019-02-22