# EDGAR Filing Document

**Accession Number:** 0001097149
**File Stem:** 0001209191-23-012421
**Filing Date:** 2023-2
**Character Count:** 9002
**Document Hash:** 1ec6869b2796f8c993d0990fc75f1c74
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-012421.hdr.sgml**: 20230223

**ACCESSION NUMBER**: 0001209191-23-012421

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230220

**FILED AS OF DATE**: 20230223

**DATE AS OF CHANGE**: 20230223

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Wright Emory
- **CENTRAL INDEX KEY:** 0001419490

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-32259
- **FILM NUMBER:** 23661910

**MAIL ADDRESS:**
- **STREET 1:** C/O ALIGN TECHNOLOGY INC.
- **STREET 2:** 2820 ORCHARD PARKWAY
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95131
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALIGN TECHNOLOGY INC
- **CENTRAL INDEX KEY:** 0001097149
- **STANDARD INDUSTRIAL CLASSIFICATION:** ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842]
- **IRS NUMBER:** 943267295
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 410 NORTH SCOTTSDALE ROAD, SUITE 1300
- **CITY:** TEMPE
- **STATE:** AZ
- **ZIP:** 85288
- **BUSINESS PHONE:** 408-470-1000

**MAIL ADDRESS:**
- **STREET 1:** 410 NORTH SCOTTSDALE ROAD, SUITE 1300
- **CITY:** TEMPE
- **STATE:** AZ
- **ZIP:** 85288

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Wright Emory<br><sub>(Last) (First) (Middle)</sub><br>C/O ALIGN TECHNOLOGY<br>410 NO. SCOTTSDALE RD., SUITE 1300<br><sub>(Street)</sub><br>TEMPE, AZ 85281<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_EVP, Global Operations_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALIGN TECHNOLOGY INC [ ALGN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-20 |  | M |  | 3371 | A | $0.00 | 8350 | D |  |
| Common Stock | 2023-02-20 |  | F |  | 1834 | D | $316.71 | 6516 | D |  |
| Common Stock |  |  |  |  |  |  |  | 962 | I<sup>(1)</sup> | See Footnotes |
| Common Stock |  |  |  |  |  |  |  | 2883 | I<sup>(1)</sup> | See Footnotes |
| Common Stock |  |  |  |  |  |  |  | 2883 | I<sup>(1)</sup> | See Footnotes |
| Common Stock |  |  |  |  |  |  |  | 2883 | I<sup>(1)</sup> | See Footnotes |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Unit | 0.0001<sup>(2)</sup> | 2023-02-20 |  | M |  |  | 308 | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 308 | $0.00 | 924 | D |  |
| Restricted Stock Unit | 0.0001<sup>(2)</sup> | 2023-02-20 |  | M |  |  | 268 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 268 | $0.00 | 534 | D |  |
| Restricted Stock Unit | 0.0001<sup>(2)</sup> | 2023-02-20 |  | M |  |  | 543 | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock | 543 | $0.00 | 543 | D |  |
| Restricted Stock Unit | 0.0001<sup>(2)</sup> | 2023-02-20 |  | M |  |  | 595 | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 595 | $0.00 | 0 | D |  |
| Market Stock Unit | 0.0001<sup>(2)</sup> | 2023-02-20 |  | M |  |  | 1657 | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 1657 | $0.00 | 0 | D |  |
| Restricted Stock Unit | 0.0001<sup>(2)</sup> | 2023-02-20 |  | A |  | 2154 |  | <sup>(8)</sup> | <sup>(8)</sup> | Common Stock | 2154 | $0.00 | 2154 | D |  |
| Market Stock Unit | 0.0001<sup>(2)</sup> | 2023-02-20 |  | A |  | 4374 |  | <sup>(9)</sup> | <sup>(9)</sup> | Common Stock | 4374 | $0.00 | 4374 | D |  |

---

### Footnotes:

(1) These shares are held by irrevocable trusts for the benefit of the children of reporting person.  The reporting person is a co-trustee of each of the trusts.

(2) Represents par value of ALGN common stock.

(3) 1/4th of the restricted stock unit granted on February 20, 2022 became vested on February 20, 2023 and shares were delivered to reporting person on such vest date.  1/4th of the restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

(4) 1/4th of the restricted stock unit granted on February 20, 2021 became vested on February 20, 2023 and shares were delivered to reporting person on such vest date.  1/4th of the restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

(5) 1/4th of the restricted stock unit granted on February 20, 2020 became vested on February 20, 2023 and shares were delivered to reporting person on such vest date.  1/4th of the restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

(6) 1/4th of the restricted stock unit granted on February 20, 2019 became vested on February 20, 2023 and shares were delivered to reporting person on such vest date.

(7) The market stock unit granted February 20, 2020 became fully vested on February 20, 2023, and shares were delivered to reporting person on such vest date.

(8) 1/4th of the restricted stock unit granted on February 20, 2023 will become vested on February 20, 2024 and shares will be delivered to reporting person on such vest date.  1/4th of the restricted stock unit will continue to vest annually thereafter and shares will be delivered to reporting person on each vest date.

(9) Represents the maximum number of shares which may be issued under the market stock unit.  100% of the market stock unit will vest on the last day of the third year of the Performance Period (as defined in the market stock unit agreement).

**Signature:** /s/ Julie Coletti Attorney-in-Fact for Emory Wright  
**Date:** 2023-02-23

### Remarks:

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.**