SEC Filing | Align Technology

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Pascaud Raphael

(Last)

(First)

(Middle)

C/O ALIGN TECHNOLOGY, INC.

2560 ORCHARD PARKWAY

(Street)

SAN JOSE

95131

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/13/2014

3. Issuer Name and Ticker or Trading Symbol
ALIGN TECHNOLOGY INC [ ALGN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP, International

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	467	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Right to Buy (Common Stock)	11/15/2011	12/01/2017	Common Stock	5,400⁽¹⁾	17.97	D
Restricted Stock Unit	02/20/2013	02/20/2019	Common Stock	3,000⁽²⁾	0.0001⁽³⁾	D
Restricted Stock Unit	02/20/2014	02/20/2020	Common Stock	3,500⁽⁴⁾	0.0001⁽³⁾	D
Restricted Stock Unit	02/20/2014	03/01/2020	Common Stock	4,000⁽⁴⁾	0.0001⁽³⁾	D
Restricted Stock Unit	11/20/2014	11/20/2020	Common Stock	5,000⁽⁵⁾	0.0001⁽³⁾	D

Explanation of Responses:

1. Represents an option in which 1/48th of the shares subject to the option vest each month after the Date Exercisable set forth above, subject to the reporting person's continued employment with the issuer.

2. 1/4th of the restricted stock unit becomes vested on February 20, 2013 and 1/4th of the restricted stock unit will vest annually thereafter. Shares will be delivered to reporting person on each vest date.

3. Represents par value of ALGN common stock.

4. 1/4th of the restricted stock unit becomes vested on February 20, 2014 and 1/4th of the restricted stock unit will vest annually thereafter. Shares will be delivered to reporting person on each vest date.

5. 1/4th of the restricted stock unit becomes vested on November 20, 2014 and 1/4th of the restricted stock until will vest annually thereafter. Shares will be delivered to reporting person on each vest date.

	Roger E. George Atty-in-Fact for Raphael Pascaud	01/17/2014
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

LIMITED POWER OF ATTORNEY - SECURITIES LAW COMPLIANCE
      The undersigned, as an officer or director of
Align Technology, Inc. (the "Company"), hereby constitutes
and appoints Roger E. George and Thomas M. Prescott,
and each of them, the undersigned's true and lawful
attorney-in-fact and agent to complete and execute such
Forms 144, Forms 3, 4 and 5 and other forms as such attorney
shall in his discretion determine to be required or advisable
pursuant to Rule 144 promulgated under the Securities Act of
1933 as amended, Section 16 of the Securities Exchange
Act of 1934, as amended, and the rules and regulations
promulgated thereunder, or any successor laws and
regulations, as a consequence of the undersigned's
ownership, acquisition or disposition of securities of
the Company, and to do all acts necessary in order to
file such forms with the Securities and Exchange
Commission, any securities exchange or national
association, the Company and such other person or
agency as the attorney shall deem appropriate.  The
undersigned hereby ratifies and confirms all that
said attorneys-in-fact and agents shall do or cause
to be done by virtue hereof.
      This Limited Power of Attorney shall remain in full
force and effect until the undersigned is no longer required
to file Forms 3, 4 and 5 with respect to the undersigned's
holdings of and transactions in securities issued by
the Company unless earlier revoked by the undersigned
in a writing delivered to the foregoing attorneys-in-fact.
      This Limited Power of Attorney is executed at
San Jose, CA, as of the date set forth below.


					/s/Raphael Pascaud
					Raphael Pascaud
					Dated:  01/07/14
Witness:

/s/ Rudolf van Bork
Rudolf van Bork
Dated: 01/07/14












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