UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Right to buy (Common Stock | 10/01/2009(1) | 10/01/2018 | Common Stock | 32,000 | $ 10.48 | D | Â |
Right to Buy (Common Stock) | 02/20/2010(1) | 02/20/2019 | Common Stock | 60,000 | $ 7.81 | D | Â |
Restricted Stock Unit | Â (2) | Â (2) | Common Stock | 10,000 | $ 0.0001 (3) | D | Â |
Restricted Stock Unit | Â (4) | Â (4) | Common Stock | 20,000 | $ 0.0001 (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tan Sheila K C/O ALIGN TECHNOLOGY INC. 881 MARTIN AVE SANTA CLARA, CA 95050 |
 |  |  VP, Mktg & Chief Mktg Officer |  |
Roger E. George, Atty-in-Fact for Sheila K. Tan | 03/12/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 25% of the shares subject to the option vest one year after the date of grant, and 1/48th of the shares subject to the option vest each month thereafter. |
(2) | 1/4 of the restricted stock unit granted on October 1, 2008 will become vested on October 1, 2009 and shares will be delivered to the reporting person on that date. The restricted stock unit will continue to vest annually and vested shares will be delivered to the reporting person on each vest date. |
(3) | Represents par value of AlGN common stock |
(4) | 1/4 of the restricted stock unit granted on February 20, 2009 will become vested and exercisable on February 20, 2010 and shares will be delivered to the reporting person on that date. The restricted stock unit will continue to vest annually and vested shares will be delivered to the reporting person on each vest date. |