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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES AND EXCHANGE ACT OF 1934
(AMENDMENT NO. _____)*
Align Technology, Inc.
-------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $0.0001 par value
-------------------------------------------------------------------------------
(Title of Class of Securities)
016255101
-------------------------------------------------------------------------------
(CUSIP Number)
-------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 or otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see the Notes).
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 CONTROL
NUMBER.
CUSIP NO. 016255101 PAGE 2 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
LLURA L. GUND, as trustee for the Dionis Trust, the Gordon Gund - Grant Gund Trust, the
Gordon Gund - G. Zachary Gund Trust, the Anna Barrows Beakey 1998 Trust and the Katharine
Barrows Dadagian 1998 Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [ ]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- ------------ ----------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY 1,000,000
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
1,237,940
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
1,000,000
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
1,237,940
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
2,237,940
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
4.7%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 3 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
GRANT GUND, individually, and as trustee for the Gordon Gund - Grant Gund Generation Skipping
Trust, the Llura Blair Gund Gift Trust and the Grant Owen Gund Gift Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [ ]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- ------------ ----------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY 351,666
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
80,000
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
351,666
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
80,000
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
431,666
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
0.9%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 4 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
G. ZACHARY GUND, individually, and as trustee for the Gordon Gund - G. Zachary Gund Generation
Skipping Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [_]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- ------------ ----------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY 351,666
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
50,000
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
351,666
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
50,000
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
401,666
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
0.8%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 5 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
GORDON GUND, as trustee for the Dionis Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [ ]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- ------------ ----------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY -0-
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
1,217,940
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
-0-
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
1,217,940
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,217,940
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
2.5%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 6 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
RICHARD T. WATSON, as trustee for the Gordon Gund - G. Zachary Gund Generation Skipping Trust
and the Gordon Gund - Grant Gund Generation Skipping Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [ ]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- -----------------------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY -0-
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
100,000
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
-0-
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
100,000
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
100,000
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
0.2%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 7 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
REBECCA H. DENT, as trustee for the Gordon Gund - Grant Gund Generation Skipping Trust, the
Gordon Gund - G. Zachary Gund Generation Skipping Trust, the Llura Blair Gund Gift Trust and
the Grant Owen Gund Gift Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [ ]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- -----------------------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY -0-
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
130,000
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
-0-
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
130,000
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
130,000
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
0.3%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 8 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
GEORGE GUND III, as trustee for the Gordon Gund - Grant Gund Generation Skipping Trust and
the Gordon Gund - G. Zachary Gund Generation Skipping Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [ ]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- ------------ ----------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY -0-
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
100,000
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
-0-
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
100,000
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
100,000
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
0.2%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 9 OF 16 PAGES
---------------------------------- -----------------------------------------------------------------------------------------------
NAME OF REPORTING PERSONS
1 I.R.S. Identification Nos. of above Persons (Entities Only)
GAIL BARROWS, as trustee for the Anna Barrows Beakey 1998 Trust and the Katharine Barrows
Dadagian 1998 Trust
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
2 (See Instructions) (a) [ ]
(b) [X]
---------------------------------- -----------------------------------------------------------------------------------------------
SEC USE ONLY
3
---------------------------------- -----------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
UNITED STATES OF AMERICA
---------------------------------- ------------ ----------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 5
BENEFICIALLY OWNED BY -0-
EACH
REPORTING
PERSON WITH
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED VOTING POWER
6
20,000
---------------------------------- ------------ ----------------------------------------------------------------------------------
SOLE DISPOSITIVE POWER
7
-0-
---------------------------------- ------------ ----------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
20,000
---------------------------------- -----------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
20,000
---------------------------------- -----------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
10 [ ]
---------------------------------- -----------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11
0.04%
---------------------------------- -----------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
12
IN
---------------------------------- -----------------------------------------------------------------------------------------------
CUSIP NO. 016255101 PAGE 10 OF 16 PAGES
ITEM 1.
(A) NAME OF ISSUER:
Align Technology, Inc.
(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
851 Martin Avenue
Santa Clara, CA 95050
ITEM 2.
(A) NAME OF PERSONS FILING:
Pursuant to Rule 13d-1(k) of Regulation 13D-G of the General
Rules and Regulations under the Securities Exchange Act of 1934 ("the
EXCHANGE ACT"), the following persons ("the REPORTING PERSONS")
identified below are filing in their individual capacity or their
capacity as trustees of certain trusts, as indicated:
LLURA L. GUND, as trustee for the Dionis Trust, the Gordon
Gund - Grant Gund Trust, the Gordon Gund - G. Zachary Gund
Trust, the Anna Barrows Beakey 1998 Trust and the Katharine
Barrows Dadagian 1998 Trust
GRANT GUND, individually, and as trustee for the Gordon Gund -
Grant Gund Generation Skipping Trust, the Llura Blair Gund
Gift Trust and the Grant Owen Gund Gift Trust
G. ZACHARY GUND, individually, and as trustee for the Gordon
Gund - G. Zachary Gund Generation Skipping Trust
GORDON GUND, as trustee for the Dionis Trust
RICHARD T. WATSON, as trustee for the Gordon Gund - G. Zachary
Gund Generation Skipping Trust and the Gordon Gund - Grant
Gund Generation Skipping Trust
REBECCA H. DENT, as trustee for the Gordon Gund - Grant Gund
Generation Skipping Trust, the Gordon Gund - G. Zachary Gund
Generation Skipping Trust, the Llura Blair Gund Gift Trust and
the Grant Owen Gund Gift Trust
GEORGE GUND III, as trustee for the Gordon Gund - Grant Gund
Generation Skipping Trust and the Gordon Gund - G. Zachary
Gund Generation Skipping Trust
GAIL BARROWS, as trustee for the Anna Barrows Beakey 1998
Trust and the Katharine Barrows Dadagian 1998 Trust
The Reporting Persons, in the aggregate, beneficially own
3,071,272 shares of Common Stock or 6.4% of the outstanding Common
Stock of the Issuer based on 48,018,588 shares outstanding as of July
31, 2002 as reported in the Quarterly Report on Form 10-Q of the Issuer
for the period ended June 30, 2002. Neither the fact of this filing nor
anything contained herein shall be deemed to be an admission by any of
the Reporting Persons that a group exists within the meaning of the
Exchange Act.
(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE,
RESIDENCE:
The business address for each of the Reporting
Persons is:
CUSIP NO. 016255101 PAGE 11 OF 16 PAGES
Gund Investment Corporation
14 Nassau Street
Princeton, NJ 08542
(C) CITIZENSHIP:
All of the Reporting Persons are citizens of the
United States.
(D) TITLE OF CLASS OF SECURITIES:
All of the Reporting Persons beneficially own shares
of Common Stock, $0.0001 par value, of the Issuer.
(E) CUSIP NUMBER:
016255101
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECS.240.13D-1(b)
OR 240.13D-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under Section 15
of the Act (15 U.S.C. 78o);
(b) [ ] Bank as defined in Section 3(a)(6) of the
Act (15 U.S.C. 78c);
(c) [ ] Insurance company as defined in Section
3(a)(19) of the Act (15 U.S.C. 78c);
(d) [ ] Investment company registered under Section
8 of the Investment Company Act of 1940
(15 U.S.C. 80a-8);
(e) [ ] An investment adviser in accordance with
Sec.240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund
in accordance with Sec.240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person
in accordance with Sec.240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section
3(b) of the Federal Deposit Insurance Act
(12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the
definition of an investment company under
Section 3(c)(14) of the Investment Company
Act of 1940 (15 U.S.C. 80a-3); or
(j) [ ] Group, in accordance with Sec.240.13d-1(b)
(1)(ii)(J).
Not applicable.
ITEM 4. OWNERSHIP.
Pursuant to the Exchange Act and regulations thereunder, the
Reporting Persons may be deemed as a group to have acquired beneficial
ownership of 3,071,272 shares of Common Stock, which represents 6.4% of
the outstanding Common Stock of the Issuer.
LLURA L. GUND may be deemed to have beneficial ownership in
the aggregate of 2,237,940 shares of Common Stock, which constitutes
4.7% of the outstanding Common Stock of the Issuer. Of these shares,
Llura L. Gund has sole power to vote and sole power to dispose of an
aggregate of 1,000,000 shares of Common Stock by virtue of her position
as the sole trustee of certain trusts as listed below and may be deemed
to have shared power to vote and shared power to dispose of 1,237,940
of Common Stock by virtue of her position as co-trustee of certain
trusts as listed below:
CUSIP NO. 016255101 PAGE 12 OF 16 PAGES
Gordon Gund - Grand Gund Trust (Ms. Gund serves as sole trustee) 500,001
Gordon Gund - G. Zachary Gund Trust (Ms. Gund serves as sole trustee) 499,999
Dionis Trust (Ms. Gund serves as co-trustee with Gordon Gund) 1,217,940
Anna Barrow Beakey 1998 Trust (Ms. Gund serves as co-trustee with
Gail Barrows) 10,000
Katharine Barrows Dadagian 1998 Trust (Ms. Gund serves as co-trustee
with Gail Barrows) 10,000
GRANT GUND may be deemed to have beneficial ownership in the
aggregate of 431,666 shares of Common Stock, which constitutes 0.9% of
the outstanding Common Stock of the Issuer. Of these shares, Grant Gund
has sole power to vote and sole power to dispose of 351,666 shares of
Common Stock by virtue of his individual ownership of such shares and
may be deemed to have shared power to vote and shared power to dispose
of 80,000 shares of Common Stock by virtue of his position as
co-trustee of certain trusts as listed below:
Gordon Gund - Grant Gund Generation Skipping Trust (Mr. Grant Gund
serves as co-trustee with Richard T. Watson, Rebecca H. Dent and
George Gund III) 50,000
Llura Blair Gund Gift Trust (Mr. Grant Gund serves as co-trustee with
Rebecca H. Dent) 15,000
Grant Owen Gund Gift Trust (Mr. Grant Gund serves as co-trustee with
Rebecca H. Dent) 15,000
G. ZACHARY GUND may be deemed to have beneficial ownership in
the aggregate of 401,666 shares of Common Stock, which constitutes 0.8%
of the outstanding Common Stock of the Issuer. Of these shares, G.
Zachary Gund has sole power to vote and sole power to dispose of
351,666 shares of Common Stock by virtue of his individual ownership of
such shares and may be deemed to have shared power to vote and shared
power to dispose of 50,000 shares by virtue of his position as
co-trustee with Richard T. Watson, Rebecca H. Dent and George Gund III
of the Gordon Gund - G. Zachary Gund Generation Skipping Trust.
GORDON GUND, as co-trustee with Llura L. Gund for the Dionis
Trust, may be deemed to have shared power to vote and shared power to
dispose of 1,217,940 shares of Common Stock, which constitutes 2.5% of
the outstanding Common Stock of the Issuer. In addition, he may be
deemed to have beneficial ownership of the 1,020,000 shares
beneficially owned by Llura L. Gund, his spouse, which represents 2.1%
of the outstanding Common Stock of the Issuer. He disclaims beneficial
ownership of these shares.
RICHARD T. WATSON, as co-trustee with Grant Gund, Rebecca H.
Dent and George Gund III for the Gordon Gund - Grant Gund Generation
Skipping Trust and as co-trustee with G. Zachary Gund, Rebecca H. Dent
and George Gund III for the Gordon Gund - G. Zachary Gund Generation
Skipping Trust, may be deemed to have shared power to vote and shared
power to dispose of 50,000 shares of Common Stock owned by each trust,
for an aggregate beneficial ownership of 100,000 shares of Common
Stock, which constitutes 0.2% of the outstanding Common Stock of the
Issuer.
REBECCA H. DENT may be deemed to have shared power to vote and
shared power to dispose of an aggregate of 130,000 shares of Common
Stock, which constitutes 0.3% of the outstanding Common Stock of the
Issuer, by virtue of her position as co-trustee for certain trusts as
indicated below:
Gordon Gund - Grant Gund Generation Skipping Trust (Ms. Dent serves as
co-trustee with Grant Gund Richard T. Watson and George Gund III) 50,000
CUSIP NO. 016255101 PAGE 13 OF 16 PAGES
Gordon Gund - G. Zachary Gund Generation Skipping Trust (Ms. Dent serves
as co-trustee with G. Zachary Gund, Richard T. Watson and
George Gund III) 50,000
Llura Blair Gund Gift Trust (Ms. Dent serves as co-trustee with Grant Gund) 15,000
Grant Owen Gund Gift Trust (Ms. Dent serves as co-trustee with Grant Gund) 15,000
GEORGE GUND III, as co-trustee with Grant Gund, Richard T.
Watson and Rebecca H. Dent for the Gordon Gund - Grant Gund Generation
Skipping Trust and as co-trustee with G. Zachary Gund, Richard T.
Watson and Rebecca H. Dent for the Gordon Gund - G. Zachary Gund
Generation Skipping Trust, may be deemed to have shared power to vote
and shared power to dispose of 50,000 shares of Common Stock owned by
each trust, for an aggregate beneficial ownership of 100,000 shares of
Common Stock, which constitutes 0.2% of the outstanding Common Stock of
the Issuer.
GAIL BARROWS, as co-trustee with Llura L. Gund for the Anna
Barrows Beakey 1998 Trust and the Katharine Barrows Dadagian 1998
Trust, may be deemed to have shared power to vote and shared power to
dispose of 10,000 shares of Common Stock owned by each trust, for an
aggregate beneficial ownership of 20,000 shares of Common Stock, which
constitutes 0.04% of the outstanding Common Stock of the Issuer.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following: [ ]
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON.
Not applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING
COMPANY.
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
See Exhibit A.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATIONS. (See Instructions)
By signing below, I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing
CUSIP NO. 016255101 PAGE 14 OF 16 PAGES
the control of the issuer of the securities and were not acquired and are
not held in connection with or as a participant in any transaction having
that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: September 24, 2002
/s/ Gordon Gund*
-----------------------------------
Name: Gordon Gund
Attorney-in-Fact for the Reporting
Persons
* The Power of Attorney authorizing Gordon Gund to act on behalf of the
Reporting Persons is attached hereto as Exhibit B.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE
FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
CUSIP NO. 016255101 PAGE 15 OF 16 PAGES
EXHIBIT A
IDENTIFICATION OF MEMBERS OF THE GROUP
Pursuant to Rule 13d-1(c) under the Securities and Exchange Act of
1934, the members of the group making this joint filing are identified as
follows:
LLURA L. GUND, as trustee for the Dionis Trust, the Gordon Gund - Grant Gund
Trust, the Gordon Gund - G. Zachary Gund Trust, the Anna Barrows Beakey 1998
Trust and the Katharine Barrows Dadagian 1998 Trust
GRANT GUND, individually, and as trustee for the Gordon Gund - Grant Gund
Generation Skipping Trust, the Llura Blair Gund Gift Trust and the Grant Owen
Gund Gift Trust
G. ZACHARY GUND, individually, and as trustee for the Gordon Gund - G. Zachary
Gund Generation Skipping Trust
GORDON GUND, as trustee for the Dionis Trust
RICHARD T. WATSON, as trustee for the Gordon Gund - G. Zachary Gund Generation
Skipping Trust and the Gordon Gund - Grant Gund Generation Skipping Trust
REBECCA H. DENT, as trustee for the Gordon Gund - Grant Gund Generation Skipping
Trust, the Gordon Gund - G. Zachary Gund Generation Skipping Trust, the Llura
Blair Gund Gift Trust and the Grant Owen Gund Gift Trust
GEORGE GUND III, as trustee for the Gordon Gund - Grant Gund Generation Skipping
Trust and the Gordon Gund - G. Zachary Gund Generation Skipping Trust
GAIL BARROWS, as trustee for the Anna Barrows Beakey 1998 Trust and the
Katharine Barrows Dadagian 1998 Trust
CUSIP NO. 016255101 PAGE 16 OF 16 PAGES
EXHIBIT B
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes
and appoints Gordon Gund and Theodore W. Baker, and each of them, as the true
and lawful attorney or attorneys-in-fact, with full power of substitution and
revocation, for the undersigned and in the name, place and stead of the
undersigned, in any and all capacities, to execute, on behalf of the
undersigned, any and all statements or reports under Section 13 of the
Securities Exchange Act of 1934, as amended (the "EXCHANGE ACT"), with respect
to the beneficial ownership of Common Stock, par value $0.0001 per share, of
Align Technology, Inc., a Delaware corporation, including, without limitation,
all statements on Schedule 13G and all amendments thereto and any and all other
documents that may be required, from time to time, to be filed with the
Securities and Exchange Commission (the "COMMISSION"), to execute any and all
amendments or supplements to any such statements or forms and file the same,
with all exhibits thereto, and other documents in connection therewith, with the
Commission, granting to said attorney or attorneys-in-fact full power and
authority to do so and perform each and every act and thing requisite and
necessary to be done in and about the premises, as fully and to all intents and
purposes as the undersigned might or could do in person, hereby ratifying and
confirming all that said attorney or attorneys-in-fact or any of them or their
substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
The undersigned acknowledges that the foregoing attorneys-in-fact, and each of
them, in serving in such capacity at the request of the undersigned, are not
assuming any of the responsibilities of the undersigned to comply with Section
13 of the Exchange Act or any other legal requirement. This Power of Attorney
shall remain in effect until revoked in writing by the undersigned.
This Power of Attorney may be executed in multiple counterparts, each
of which shall be deemed an original with respect to the person executing it.
Dated as of this 24th day of September 2002.
/s/ Llura L. Gund /s/ Rebecca H. Dent
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Llura L. Gund, as trustee for the Dionis Rebecca H. Dent, as trustee for the Gordon
Trust, the Gordon Gund - Grant Gund Trust, Gund - Grant Gund Generation Skipping Trust,
the Gordon Gund - G. Zachary Gund Trust, the the Gordon Gund - G. Zachary Gund Generation
Anna Barrows Beakey 1998 Trust and the Skipping Trust, the Llura Blair Gund Gift
Katharine Barrows Dadagian 1998 Trust Trust and the Grant Owen Gund Gift Trust
/s/ Grant Gund /s/ George Gund III
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Grant Gund, individually, and as trustee for George Gund III, as trustee for the Gordon
the Gordon Gund - Grant Gund Generation Gund - Grant Gund Generation Skipping Trust
Skipping Trust, the Llura Blair Gund Gift and the Gordon Gund - G. Zachary Gund
Trust and the Grant Owen Gund Gift Trust Generation Skipping Trust
/s/ G. Zachary Gund /s/ Gail Barrows
-------------------------------------------- ---------------------------------------------
G. Zachary Gund, individually, and as trustee Gail Barrows, as trustee for the Anna Barrows
for the Gordon Gund - G. Zachary Gund Beakey 1998 Trust and the Katharine Barrows
Generation Skipping Trust Dadagian 1998 Trust
/s/ Richard T. Watson /s/ Gordon Gund
-------------------------------------------- ---------------------------------------------
Richard T. Watson, as trustee for the Gordon Gordon Gund, as trustee for the Dionis Trust
Gund - G. Zachary Gund Generation Skipping
Trust and the Gordon Gund - Grant Gund
Generation Skipping Trust