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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 23.15 | 01/16/2015(2) | M | 10,000 | (5) | 12/14/2015 | Common Stock | 10,000 | (6) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Flakne Carla 51 SAWYER ROAD, SUITE 200 WALTHAM, MA 02453 |
VP, Chief Accounting Officer |
/s/ Jay McNamara, attorney-in-fact | 01/20/2015 | |
**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) | Includes 248 shares acquired under the Alere Inc. Employee Stock Purchase Plan on June 30, 2014. |
(2) | The transactions reported on this Form were made pursuant to a written 10b5-1 trading plan adopted in accordance with SEC Rule 10b5-1. Represents same day exercise and sale of expiring stock options. |
(3) | Includes 241 shares acquired under the Alere Inc. Employee Stock Purchase Plan on December 31, 2014. |
(4) | The price reported is a weighted average price. These shares were sold in approximately 68 separate transactions at prices ranging from $41.81 to $42.82, inclusive. The reporting person hereby undertakes to provide to the SEC, the issuer or any stockholder of the issuer, upon request, the full information regarding the number of shares and prices at which the transaction was effected. |
(5) | Option vested in four equal installments on 12/14/06, 12/14/07, 12/14/08 and 12/14/09. |
(6) | This derivative security does not have a price. |
(7) | These securities are owned by the 2012 Flakne Family Trust, for which the reporting person & her spouse are the trustees. |