Puco Christopher C.

SEC source: 0001215490-18-000004 · primary_doc.xml · nonDerivative · entry 2

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.02 to $228.12, inclusive. The reporting person undertakes to provide Align Technology Inc., any security holder of Align Technology Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001215490-18-000004 · primary_doc.xml · nonDerivative · entry 1

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,427

F1 · balance_after: Includes 141 shares acquired on July 31, 2018 under the ALGN Employee Stock Purchase Plan.

SEC source: 0000899243-18-005090 · doc4.xml · derivative · entry 9

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500

Underlying: Common Stock · 10,500 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F9 · derivative.exercise_date: Represents the maximum number of shares which may be issued under the market stock unit. All of the shares which may be issued under 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).

F9 · derivative.expiration_date: Represents the maximum number of shares which may be issued under the market stock unit. All of the shares which may be issued under 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).

SEC source: 0000899243-18-005090 · doc4.xml · derivative · entry 8

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,100

Underlying: Common Stock · 2,100 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F8 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2018 will become vested on February 20, 2019 and shares will be delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F8 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2018 will become vested on February 20, 2019 and shares will be delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-18-005090 · doc4.xml · derivative · entry 7

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,350

Underlying: Common Stock · 1,450 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F7 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2017 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F7 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2017 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-18-005090 · doc4.xml · derivative · entry 6

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,250

Underlying: Common Stock · 2,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F6 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2016 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F6 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2016 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-18-005090 · doc4.xml · derivative · entry 5

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250

Underlying: Common Stock · 1,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F5 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F5 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-18-005090 · doc4.xml · derivative · entry 4

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,875 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F4 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date.

F4 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2018 and shares were delivered to reporting person on such vest date.

SEC source: 0000899243-18-005090 · doc4.xml · derivative · entry 3

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F3 · derivative.exercise_date: Represents the maximum number of shares issued under the market stock unit granted on February 20, 2015. Shares were delivered to reporting person on February 20, 2018.

F3 · derivative.expiration_date: Represents the maximum number of shares issued under the market stock unit granted on February 20, 2015. Shares were delivered to reporting person on February 20, 2018.

SEC source: 0000899243-18-005090 · doc4.xml · nonDerivative · entry 2

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,623

SEC source: 0000899243-18-005090 · doc4.xml · nonDerivative · entry 1

Puco Christopher C. · CIK 0001564238 · SVP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,396

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 80 shares acquired on July 31, 2017 under the ALGN ESPP and 116 shares acquired under the ALGN ESPP on January 31, 2018.

SEC source: 0001564238-17-000001 · primary_doc.xml · nonDerivative · entry 3

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001564238-17-000001 · primary_doc.xml · nonDerivative · entry 2

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.19 to $103.00, inclusive. The reporting person undertakes to provide Align Technology, Inc., any security holder of Align Technology, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001564238-17-000001 · primary_doc.xml · nonDerivative · entry 1

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,691

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 11

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,600

Underlying: Common Stock · 11,600 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F11 · derivative.exercise_date: Represents the maximum number of shares which may be issued under the market stock unit. All of the shares which may be issued under 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).

F11 · derivative.expiration_date: Represents the maximum number of shares which may be issued under the market stock unit. All of the shares which may be issued under 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).

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 10

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,800

Underlying: Common Stock · 5,800 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F10 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2017 will become vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F10 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2017 will become vested on February 20, 2018 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 9

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F9 · derivative.exercise_date: Represents the maximum number of shares issued under the market stock unit granted on February 20, 2014. Shares were delivered to reporting person on February 21, 2017.

F9 · derivative.expiration_date: Represents the maximum number of shares issued under the market stock unit granted on February 20, 2014. Shares were delivered to reporting person on February 21, 2017.

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 8

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F8 · derivative.exercise_date: Represents the maximum number of shares issued under the market stock unit granted on February 20, 2014. Shares were delivered to reporting person on February 21, 2017.

F8 · derivative.expiration_date: Represents the maximum number of shares issued under the market stock unit granted on February 20, 2014. Shares were delivered to reporting person on February 21, 2017.

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 7

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,375

Underlying: Common Stock · 2,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F7 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2016 became vested on February 20, 2017 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F7 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2016 became vested on February 20, 2017 and shares were delivered to reporting person on such vest date. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 6

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 1,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F6 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F6 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2015 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 5

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F5 · derivative.exercise_date: 1/2 of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017.

F5 · derivative.expiration_date: 1/2 of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017.

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 4

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,875

Underlying: Common Stock · 2,875 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F4 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

F4 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2014 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017. The restricted stock unit will continue to vest annually and shares will be delivered to reporting person on each vest date.

SEC source: 0000899243-17-005086 · doc4.xml · derivative · entry 3

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents par value of ALGN common stock.

F3 · derivative.exercise_date: 1/4th of the restricted stock unit granted on February 20, 2013 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017.

F3 · derivative.expiration_date: 1/4th of the restricted stock unit granted on February 20, 2013 became vested on February 20, 2017 and shares were delivered to reporting person on February 21, 2017.

SEC source: 0000899243-17-005086 · doc4.xml · nonDerivative · entry 2

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,353

SEC source: 0000899243-17-005086 · doc4.xml · nonDerivative · entry 1

Puco Christopher C. · CIK 0001564238 · VP, No. American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,255

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 162 shares issued on July 29, 2016 and 311 shares issued on January 31, 2017 under the ALGN ESPP.

SEC source: 0001601045-16-000018 · primary_doc.xml · derivative · entry 3

Puco Christopher C. · CIK 0001564238 · VP, No American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Represents par value of ALGN common stock

F2 · derivative.exercise_date: 1/4th of restricted stock unit granted on January 3, 2013 became vested on December 20, 2016 and shares were delivered to reporting person.

F2 · derivative.expiration_date: 1/4th of restricted stock unit granted on January 3, 2013 became vested on December 20, 2016 and shares were delivered to reporting person.

SEC source: 0001601045-16-000018 · primary_doc.xml · nonDerivative · entry 2

Puco Christopher C. · CIK 0001564238 · VP, No American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,782

SEC source: 0001601045-16-000018 · primary_doc.xml · nonDerivative · entry 1

Puco Christopher C. · CIK 0001564238 · VP, No American Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.