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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) | 08/31/2017 | M | 6,667 | (2) | (2) | Common Stock | 6,667 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 48.14 | 08/31/2017 | M | 8,308 | (3) | 08/31/2017(4) | Common Stock | 8,308 | (5) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 48.14 | 08/31/2017 | M | 1,692 | (3) | 08/31/2017(4) | Common Stock | 1,692 | (5) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cramp Daniella 51 SAWYER ROAD, SUITE 200 WALTHAM, MA 02453 |
Global Pres., Cardiometabolic |
/s/ Douglas Barry, Attorney-in-Fact | 09/05/2017 | |
**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 20,000 restricted stock units, which vest as follows: 6,666 on the first anniversary of the grant date (8/31/15); 6,667 on the second anniversary of the grant date (8/31/16); and 6,667 on the third anniversary of the grant date (8/31/17). |
(3) | These options became exercisable in four equal annual installments beginning August 31, 2008. |
(4) | The Options were scheduled to expire on August 31, 2017. |
(5) | This derivative security does not have a price. |
(6) | Represents withholding of shares of Company common stock to satisfy exercise price and tax liability associated with exercise of stock options shown above. |
(7) | These securities are owned by the Cramp Family Trust for which the reporting person and her spouse are the trustees. |