Item 5. Other Information
Item 5. Other Information.
None
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Item 6. Exhibits.
(a) Exhibits:
Exhibit
Number
Description Filing Date Exhibit
Number
Filed
herewith
3.1
Amended and Restated Certificate of Incorporation of registrant
S-1, as amended (File No. 333-49932) 12/28/2000 3.1
3.1A
Certificate of Amendment to the Amended and Restated Certificate of Incorporation
8-K 5/20/2016 3.01
3.2
Amended and Restated Bylaws of registrant
8-K 3/01/2023 3.1
10.1
Form of Restricted Stock Unit Agreement under Registrant's 2005 Incentive Plan (CEO Form)
*
10.2
Form of Restricted Stock Unit Agreement under Registrant's 2005 Incentive Plan (Executive Officer Form for officers appointed after September 2016)
*
10.3
Form of Restricted Stock Unit Agreement under Registrant's 2005 Incentive Plan (Executive Officer Form for officers appointed prior to September 2016)
*
10.4
Form of Market Stock Unit Agreement under Registrant's 2005 Incentive Plan (CEO Form)
*
10.5
Form of Market Stock Unit Agreement under Registrant's 2005 Incentive Plan (Executive Officer Form for officers appointed after September 2016)
*
10.6
Form of Market Stock Unit Agreement under Registrant's 2005 Incentive Plan (Executive Officer Form for officers appointed prior to September 2016)
*
10.7
Fixed Dollar Accelerated Share Repurchase Transaction between Citibank, N.A. and Align Technology, Inc. dated February 3, 2023
*
31.1
Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
*
31.2
Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
*
32.1 †
Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
*
101.INS Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document). *
101.SCH Inline XBRL Taxonomy Extension Schema Document *
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document *
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document *
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document *
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document *
104 Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) *
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† The certifications attached as Exhibit 32.1 that accompany this Quarterly Report on Form 10-Q are not deemed filed with the SEC and are not to be incorporated by reference into any filing of the Registrant under the Securities Act or the Exchange Act, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
ALIGN TECHNOLOGY, INC.
May 5, 2023 By: /s/ JOSEPH M. HOGAN
Joseph M. Hogan
President and Chief Executive Officer
May 5, 2023 By: /s/ JOHN F. MORICI
John F. Morici
Chief Financial Officer and Executive Vice President, Global Finance
55