SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
GUND GORDON

(Last) (First) (Middle)

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ALIGN TECHNOLOGY INC [ ALGN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Stockholder
3. Date of Earliest Transaction (Month/Day/Year)
08/29/2003
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock(1) 08/29/2003 P 100,000 A $10.99 100,000(2) I see footnote(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: 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
Explanation of Responses:
1. The Reporting Persons include Llura L. Gund, Grant Gund, G. Zachary Gund, Gordon Gund, Richard L. Watson, Rebecca H. Dent, George Gund III and Gail Barrows. The Reporting Persons, in the aggregate, beneficially own 5,928,450 shares of Common Stock of the Issuer or 10.2% of the outstanding shares of the Issuer's Common Stock. 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, as amended.
2. These securities are owned by The Gordon and Llura Gund CLT #5 and by Gordon Gund and Llura L. Gund, as Trustees.
Theodore W. Baker for Gordon Gund pursuant to a Power of Attorney previously filed with the Commission. 09/02/2003
** 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 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).
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.
                             JOINT FILER INFORMATION

Name: Llura L. Gund

Address: 14 Nassau Street
         Princeton, NJ 08542

Designated Filer: Gordon Gund

Issuer & Ticket Symbol: Align Technology, Inc.

Date of Event Requiring Statement: 9/2/03

Signature:                                 *
          ---------------------------------


*Theodore W. Baker for Llura L. Gund pursuant to a Power of Attorney previously
filed with the Commission.





                             JOINT FILER INFORMATION

Name: Grant Gund

Address: 14 Nassau Street
         Princeton, NJ 08542

Designated Filer: Gordon Gund

Issuer & Ticket Symbol: Align Technology, Inc.

Date of Event Requiring Statement: 9/2/03

Signature:                                 *
          ---------------------------------


*Theodore W. Baker for Grant Gund pursuant to a Power of Attorney previously
filed with the Commission





                             JOINT FILER INFORMATION

Name: G. Zachary Gund

Address: 14 Nassau Street
         Princeton, NJ 08542

Designated Filer: Gordon Gund

Issuer & Ticket Symbol: Align Technology, Inc.

Date of Event Requiring Statement: 9/2/03

Signature:                                 *
          ---------------------------------


*Theodore W. Baker for G. Zachary Gund pursuant to a Power of Attorney
previously filed with the Commission.





                             JOINT FILER INFORMATION

Name: Richard Watson

Address: 14 Nassau Street
         Princeton, NJ 08542

Designated Filer: Gordon Gund

Issuer & Ticket Symbol: Align Technology, Inc.

Date of Event Requiring Statement: 9/2/03

Signature:                                 *
          ---------------------------------


*Theodore W. Baker for Richard Watson pursuant to a Power of Attorney previously
filed with the Commission.





                             JOINT FILER INFORMATION

Name: Rebecca H. Dent

Address: 14 Nassau Street
         Princeton, NJ 08542

Designated Filer: Gordon Gund

Issuer & Ticket Symbol: Align Technology, Inc.

Date of Event Requiring Statement: 9/2/03

Signature:                                 *
          ---------------------------------


*Theodore W. Baker for Rebecca H. Dent pursuant to a Power of Attorney
previously filed with the Commission.





                             JOINT FILER INFORMATION

Name: George Gund III

Address: 14 Nassau Street
         Princeton, NJ 08542

Designated Filer: Gordon Gund

Issuer & Ticket Symbol: Align Technology, Inc.

Date of Event Requiring Statement: 9/2/03

Signature:                                 *
          ---------------------------------


*Theodore W. Baker for George Gund III pursuant to a Power of Attorney
previously filed with the Commission.





                             JOINT FILER INFORMATION

Name: Gail Barrows

Address: 14 Nassau Street
         Princeton, NJ 08542

Designated Filer: Gordon Gund

Issuer & Ticket Symbol: Align Technology, Inc.

Date of Event Requiring Statement: 9/2/03

Signature:                                 *
          ---------------------------------


*Theodore W. Baker for Gail Barrows pursuant to a Power of Attorney previously
filed with the Commission.