Delaware | 94-3267295 |
(State of Incorporation) | (I.R.S. Employer Identification No.) |
Chris Fennell, Esq. Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, CA 94304-1050 (650) 493-9300 | Roger E. George Vice President, Corporate and Legal Affairs, General Counsel and Interim Chief Financial Officer Align Technology, Inc. 2560 Orchard Parkway San Jose, CA 95131 (408) 470-1000 |
Large accelerated filer | x | Accelerated filer | o |
Non-accelerated filer | o (Do not check if a smaller reporting company) | Smaller reporting company | o |
Title of Each Class of Securities to be Registered | Amount to be Registered (1) | Proposed Maximum Offering Price Per Share (2) | Proposed Maximum Aggregate Offering Price (2) | Amount of Registration Fee | ||||
Common Stock, $0.0001 par value per share to be issued under the: | ||||||||
2005 Incentive Plan | 7,000,000 (3) | $42.47 | $297,290,000 | $40,550.36 | ||||
2005 Incentive plan | 8,750 (4) | N/A (4) | N/A (4) | N/A (4) |
(1) | This Registration Statement covers such indeterminable number of additional shares of common stock, $0.0001 par value per share (“Common Stock”), of Align Technology, Inc. as may hereafter be offered or issued pursuant to the Align Technology, Inc. 2005 Incentive Plan (as amended) (the “2005 Plan”) to prevent dilution resulting from stock splits or similar transactions effected without receipt of consideration and pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”). |
(2) | Estimated solely for the purpose of calculating the registration fee. The registration fee has been calculated in accordance with Rules 457(c) and 457(f) under the Securities Act based upon the average of the high and low prices per share for Align Common Stock trading on the NASDAQ Global Select Market as of July 30, 2013, which were $42.88 and $42.05, respectively. |
(3) | This Registration Statement covers 7,000,000 shares of Common Stock issuable pursuant to the 2005 Plan. Align Technology, Inc. previously filed with the Securities and Exchange Commission a Registration Statement on Form S-8 relating to the 2005 Plan on June 7, 2005, May 25, 2006, May 29, 2007, August 5, 2009, August 5, 2010, and August 8, 2012 (File Nos. 333-125586, 333-134477, 333-143319, 333-161054, 333-168548 and 333-176134, respectively) (the “Prior Registration Statements”). Pursuant to General Instruction E of Form S-8, the Prior Registration Statements are incorporated by reference into this Registration Statement on Form S-8. |
(4) | In addition, this Registration Statement covers 8,750 shares of Common Stock previously registered for offer or sale under the 2001 Equity Incentive Plan (the “2001 Plan”) on a Registration Statement on Form S-8 filed on February 5, 2001 (Registration No. 333-55020) (the “Initial Registration Statement”). The 8,750 shares previously registered for offer or sale under the 2001 Plan have not been issued and may be offered and sold under the 2005 Plan (the “Carryover Shares”). In connection with the Initial Registration Statement, the registrant paid a total registration fee of $41,657 of which $30 related to the Carryover Shares. Pursuant to Interpretation 89 under Section G of the Division of Corporation Finance's Manual of Publicly Available Telephone Interpretations dated July 1997 and Instruction E to the General Instructions of Form S-8, the registrant has carried forward the registration fee related to the Carryover Shares. Therefore, no further registration fee is required with respect to the Carryover Shares. The registrant is concurrently filing a Post-Effective Amendment No.6 to the Initial Registration Statement to deregister 8,750 shares. |
a. | The Registrant’s Annual Report on Form 10-K for the fiscal year ended December 31, 2012, filed with the Commission on March 1, 2013 pursuant to Section 13(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). |
b. | The Registrant’s Quarterly Report on Form 10-Q for the quarters ended March 31, 2013 and June 30, 2013, filed with the Commission on May 3, 2013 and August 2, 2013, respectively pursuant to Section 13(a) of the Exchange Act. |
c. | The Registrant’s Current Reports on Form 8-K filed with the Commission on: |
◦ | January 30, 2013 |
◦ | February 7, 2013 |
◦ | March 27, 2013 |
◦ | May 21, 2013 |
◦ | July 18, 2013 |
◦ | July 30, 2013 |
d. | The description of the Registrant’s common stock contained in the Registrant’s Registration Statement No. 000-32259 on Form 8-A filed with the Commission on January 25, 2001, pursuant to Section 12(g) of the Exchange Act, including any amendment or report filed for the purpose of updating such description. |
Exhibit Number | Description | |
5.1 | Opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation. | |
23.1 | Consent of Wilson Sonsini Goodrich & Rosati, Professional Corporation (contained in Exhibit 5.1 hereto). | |
23.2 | Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm. | |
24.1 | Power of Attorney (contained in signature page). |
a. | The Registrant hereby undertakes: |
1. | To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement (i) to include any prospectus required by Section 10(a)(3) of the Securities Act, (ii) to reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement, and (iii) to include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the Registration Statement; provided, however, that (a)(1)(i) and (a)(1)(ii) above do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in the periodic reports filed with or furnished to the Commission by the Registrant pursuant to Section 13 or Section 15(d) of the Exchange Act that are incorporated by reference into this Registration Statement. |
2. | That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
3. | To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. |
b. | The Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant's annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan's annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
c. | Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue. |
ALIGN TECHNOLOGY, INC. | ||
August 2, 2013 | By: /s/ Roger E. George | |
Roger E. George | ||
Vice President, Corporate and Legal Affairs, General Counsel and Interim Chief Financial Officer | ||
SIGNATURE | TITLE | DATE | |||
/s/ Thomas M. Prescott | President and Chief Executive Officer (Principal Executive Officer) | August 2, 2013 | |||
Thomas M. Prescott | |||||
/s/ David E. Collins | Director | August 2, 2013 | |||
David E. Collins | |||||
/s/ Joseph Lacob | Director | August 2, 2013 | |||
Joseph Lacob | |||||
/s/ C. Raymond Larkin | Director | August 2, 2013 | |||
C. Raymond Larkin | |||||
/s/ George J. Morrow | Director | August 2, 2013 | |||
George J. Morrow | |||||
/s/ David C. Nagel | Director | August 2, 2013 | |||
David C. Nagel | |||||
Director | |||||
Andrea L. Saia | |||||
/s/ Greg J. Santora | Director | August 2, 2013 | |||
Greg J. Santora | |||||
/s/ Warren S. Thaler | Director | August 2, 2013 | |||
Warren S. Thaler |
Exhibit Number | Description | |
5.1 | Opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation. | |
23.1 | Consent of Wilson Sonsini Goodrich & Rosati, Professional Corporation (contained in Exhibit 5.1 hereto). | |
23.2 | Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm. | |
24.1 | Power of Attorney (contained in signature page). |