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)
14 NASSAU STREET

(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)
See Remark Section
3. Date of Earliest Transaction (Month/Day/Year)
10/27/2004
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X 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 10/27/2004 P 50,000 A $9.54 175,000 I See Footnote(1)
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
1. Name and Address of Reporting Person*
GUND GORDON

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Gund Grant

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Gund Llura L

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Gund G Zachary

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Watson Richard

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Dent Rebecca H

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Barrows Gail

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
GUND GEORGE III

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Gund CLAT Investments, LLC

(Last) (First) (Middle)
14 NASSAU STREET

(Street)
PRINCETON NJ 08542

(City) (State) (Zip)
Explanation of Responses:
1. These securities are owned by the G. Zachary Gund Descendants Trust of 2004 and by G. Zachary Gund and Rebecca Dent, as Trustees.
Remarks:
The Reporting Persons include Llura L. Gund, Grant Gund, G. Zachary Gund, Gordon Gund, Richard L. Watson, Rebecca H. Dent, George Gund III,Gail Barrows and Gund CLAT Investments, LLC. The Reporting Persons, in the aggregate, beneficially own 6,248,450 shares of Common Stock of the Issuer or 10.35% 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.
Theodore W. Baker as Attorney in Fact 10/28/2004
Theodore W. Baker as Attorney in Fact for Gordon Gund - Manager 10/28/2004
Theodore W. Baker as Attorney in Fact 10/28/2004
Theodore W. Baker as Attorney in Fact 10/28/2004
Theodore W. Baker as Attorney in Fact 10/28/2004
Theodore W. Baker as Attorney in Fact 10/28/2004
Theodore W. Baker as Attorney in Fact 10/28/2004
Theodore W. Baker as Attorney in Fact 10/28/2004
Theodore W. Baker as Attorney in Fact 10/28/2004
** 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).
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