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UNITED STATES |
SECURITIES AND EXCHANGE COMMISSION |
Washington, D.C. 20549 |
________________________________________________________________________ |
FORM 10-K |
________________________________________________________________________ |
(Mark One) |
☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2020 |
OR |
☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to |
Commission file number: 000-32259 |
________________________________________________________________________ |
ALIGN TECHNOLOGY, INC. |
(Exact name of registrant as specified in its charter) |
________________________________________________________________________ |
Delaware 94-3267295 |
(State or other jurisdiction of |
incorporation or organization) (I.R.S. Employer |
Identification Number) |
410 North Scottsdale Road, Suite 1300 |
Tempe, Arizona 85281 |
(Address of principal executive offices) |
(408) 470-1000 |
(Registrant’s telephone number, including area code) |
________________________________________________________________________ |
Securities registered pursuant to Section 12(b) of the Act: |
Title of each class Trading Symbol Name of each exchange on which registered |
Common Stock, $0.0001 par value ALGN The NASDAQ Stock Market LLC |
(NASDAQ Global Market) |
Securities registered pursuant to Section 12(g) of the Act: None |
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☒ No ☐ |
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act. Yes ☐ No ☒ |
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requiremen... |
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ ... |
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and "emerging growth company" in Rule 12b... |
Large accelerated filer ☒ Accelerated filer ☐ |
Non-accelerated filer ☐ Smaller reporting company ☐ |
Emerging growth company ☐ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐ |
Indicate by check mark whether the Registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its... |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒ |
The aggregate market value of the registrant’s common stock held by non-affiliates of the registrant was approximately $14.5 billion as of June 30, 2020 based on the closing sale price of the registrant’s common stock on the NASDAQ Global Market on such date. Shares held by persons who may be deemed affiliates have bee... |
On February 22, 2021, 79,132,723 shares of the registrant’s common stock were outstanding. |
DOCUMENTS INCORPORATED BY REFERENCE |
Portions of the registrant’s definitive Proxy Statement relating to its 2021 Annual Stockholders’ Meeting to be filed pursuant to Regulation 14A within 120 days after the registrant’s fiscal year end of December 31, 2020 are incorporated by reference into Part III of this Annual Report on Form 10-K. |
ALIGN TECHNOLOGY, INC. |
FORM 10-K |
For the Year Ended December 31, 2020 |
TABLE OF CONTENTS |
Page |
PART I |
3 |
Item 1. Business |
3 |
Executive Officers of the Registrant |
14 |
Item 1A. Risk Factors |
14 |
Item 1B. Unresolved Staff Comments |
32 |
Item 2. Properties |
32 |
Item 3. Legal Proceedings |
32 |
Item 4. Mine Safety Disclosures |
32 |
PART II |
33 |
Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities |
33 |
Item 6. Selected Consolidated Financial Data |
34 |
Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations |
34 |
Item 7A. Quantitative and Qualitative Disclosures About Market Risk |
50 |
Item 8. Consolidated Financial Statements and Supplementary Data |
52 |
Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure |
93 |
Item 9A. Controls and Procedures |
94 |
Item 9B. Other Information |
94 |
PART III |
94 |
Item 10. Directors, Executive Officers and Corporate Governance |
94 |
Item 11. Executive Compensation |
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