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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 | ||||||||
Restricted Stock Units | (1) | 08/31/2015 | M | 5,000 | (2) | (2) | Common Stock | 5,000 | $ 0 | 10,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 19.15 | 08/31/2015(3) | M | 3,000 | (4) | 10/31/2018 | Common Stock | 3,000 | (9) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.91 | 08/31/2015(3) | M | 2,500 | (5) | 12/31/2018 | Common Stock | 2,500 | (9) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 27.97 | 08/31/2015(3) | M | 5,000 | (6) | 08/31/2020 | Common Stock | 5,000 | (9) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 26.06 | 08/31/2015(3) | M | 12,263 | (7) | 10/31/2021 | Common Stock | 12,263 | (9) | 7,737 | D | ||||
Employee Stock Option (Right to Buy) | $ 25.68 | 08/31/2015(3) | M | 4,750 | (8) | 04/30/2023 | Common Stock | 4,750 | (9) | 4,750 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gladwell Mark 51 SAWYER ROAD, SUITE 200 WALTHAM, MA 02453 |
Senior VP, Global Operations |
/s/ Douglas Barry, Attorney-in-Fact | 09/02/2015 | |
**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) | Each restricted stock unit represents a contingent right to receive one share of Alere common stock. |
(2) | On August 31, 2014, the reporting person was granted 15,000 restricted stock units, which vest as follows: 5,000 on the first anniversary of the grant date (8/31/15); 5,000 on the second anniversary of the grant date (8/31/16); and 5,000 on the third anniversary of the grant date (8/31/17). |
(3) | Represents same day exercise and sale of stock options. |
(4) | Option vested in four equal installments on 10/31/09, 10/31/10, 10/31/11 and 10/31/12. |
(5) | Option vested in four equal installments on 12/31/09, 12/31/10, 12/31/11 and 12/31/12. |
(6) | Option vested in four equal installments on 8/31/11, 8/31/12, 8/31/13 and 8/31/14. |
(7) | Option will vest in four equal installments on 10/31/12, 10/31/13, 10/31/14 and 10/31/15. |
(8) | Option will vest in four equal installments on 4/30/14, 4/30/15, 4/30/16 and 4/30/17. |
(9) | This derivative security does not have a price. |
(10) | The price reported is a weighted average price. These shares were sold in approximately 253 separate transactions at prices ranging from $51.75 to $52.556, inclusive. The reporting person hereby undertakes to provide to the SEC, the issuer or any stockcholder of the issuer, upon request, the full information regarding the number of shares and prices at which the transaction was effected. |