|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GUND GORDON 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section | |||
Gund Grant 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section | |||
Gund G Zachary 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section | |||
Dent Rebecca H 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section | |||
GUND GEORGE III 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section | |||
Barrows Gail 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section | |||
Gund CLAT Investments, LLC 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section | |||
Gund Llura L 14 NASSAU STREET PRINCETON, NJ 08542 |
See Remarks Section |
Theodore W. Baker as Attorney in Fact for each Reporting Person | 05/31/2012 | |
**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). |
Remarks: The Reporting Persons include Gordon Gund, Llura L. Gund, Grant Gund, G. Zachary Gund, Rebecca H. Dent, George Gund III, Gail Barrows and Gund CLAT Investments, LLC. The Reporting Persons, in the aggregate, beneficially own 7,957,150 shares of common stock of Align Technology, Inc. (the "Company"). On May 8, 2012, the Company reported an increase in its outstanding shares of common stock. Based on this increase, the Reporting Persons ceased to collectively beneficially own 10% of the common stock of the Company. The Reporting Persons are voluntarily filing this Form 4 to reflect that they are no longer subject to Section 16. Neither the fact of this filing nor anything contained herein shall be deemed an admission by any of the Reporting Persons that a group exists within the meaning of the Securities Exchange Act of 1934. |