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 | ||||
Restricted Stock Unit | 07/20/2018(1) | Â (1) | Common Stock | 6,649 | $ 0.0001 (2) | D | Â |
Restricted Stock Unit | 02/20/2019(3) | Â (3) | Common Stock | 1,696 | $ 0.0001 (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shaked Yuval C/O ALIGN TECHNOLOGY INC. 2820 ORCHARD PARKWAY SAN JOSE, CA 95134 |
 |  |  SVP, Mgng Dir. iTero |  |
Roger E. George Atty-in-Fact for Yuval Shaked | 08/14/2018 | |
**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) | 1/4th of the restricted stock unit granted on July 3, 2017 became vested on July 20, 2018 and 1/4th of the restricted stock unit will continue to vest annually. Shares will be delivered to reporting person on each vest date. |
(2) | Represents par value of ALGN common stock. |
(3) | 1/4th of the restricted stock unit granted on February 20, 2018 will become vested on February 20, 2019 and 1/4th of the restricted stock unit will vest annually thereafter. Shares will be delivered to reporting person on each vest date. |