SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13D

(Rule 13d-101)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2(a)


(Amendment No. 2)*

 

Alere Inc.

(Name of Issuer)

 

Common Stock, par value $0.001 per share

(Title of Class of Securities)

 

01449J105

(CUSIP Number)

 

Mintz, Levin, Ferris, Cohn, Glovsky and Popeo, P.C.

Attn: Richard R. Kelly, Esq.

One Financial Center

Boston, MA 02111

(617) 542-6000

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

September 30, 2014

(Dates of Event Which Require Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box o.

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.

 

* 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 disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed “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 Exchange Act by shall be subject to all other provisions of the Exchange Act (however, see the Notes).

 



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Ron Zwanziger
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF/OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
3,106,393

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
3,106,393

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,106,393

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
3.74%

 

 

14

Type of Reporting Person
IN

 

2



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Janet M. Zwanziger
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF/OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
3,106,393

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
3,106,393

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
3,106,393

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
3.74%

 

 

14

Type of Reporting Person
IN

 

3



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Zwanziger Family 2004 Irrevocable Trust
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
Not applicable

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
224,276

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
224,276

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
224,276

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.27%

 

 

14

Type of Reporting Person
OO

 

4



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Zwanziger Family 2012 Irrevocable Family Trust
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
Not applicable

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
472,193

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
472,193

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
472,193

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.57%

 

 

14

Type of Reporting Person
OO

 

5



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Zwanziger Family 2009  Irrevocable Trust
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
Not applicable

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
122,186

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
122,186

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
122,186

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.15%

 

 

14

Type of Reporting Person
OO

 

6



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Zwanziger Family Ventures LLC
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF/OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
1,466,696

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
1,466,696

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
1,466,696

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
1.77%

 

 

14

Type of Reporting Person
OO

 

7



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
The Ron Zwanziger Family Trust-1990
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
Not applicable

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
191,830

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
191,830

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
191,830

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.23%

 

 

14

Type of Reporting Person
OO

 

8



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Ron Zwanziger 2004 Revocable Trust
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
Not applicable

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
580,201

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
580,201

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
580,201

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.70%

 

 

14

Type of Reporting Person
OO

 

9



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
David Scott, Ph.D.
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF/OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
United Kingdom

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
202,239

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
202,239

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
202,239

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.24%

 

 

14

Type of Reporting Person
IN

 

10



 

CUSIP No.   01449J105

13D

 

 

 

1

Name of Reporting Person
Jerome F. McAleer, Ph.D.
I.R.S. Identification Nos. of Above Persons (Entities Only)

 

 

2

Check the Appropriate Box if a Member of The Group

 

 

(a)

 x

 

 

(b)

 o Joint Filing

 

 

3

SEC Use Only

 

 

4

Source of Funds
PF/OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2 (e)     o

 

 

6

Citizenship or Place of Organization
United Kingdom

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
152,983

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
152,983

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
152,983

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.18%

 

 

14

Type of Reporting Person
IN

 

11



 

The following constitutes Amendment No. 2 (this “Amendment”) to the Schedule 13D filed on September 15, 2014 by Ron Zwanziger, Janet M. Zwanziger, Zwanziger Family 2004 Irrevocable Trust, Zwanziger Family 2012 Irrevocable Family Trust, Zwanziger Family 2009 Irrevocable Trust, Zwanziger Family Ventures LLC, The Ron Zwanziger Family Trust-1990, Ron Zwanziger 2004 Revocable Trust, David Scott, Ph.D and Jerome F. McAleer, Ph.D. (the “Schedule 13D”), as amended by Amendment No. 1 to the Schedule 13D filed on September 18, 2014 (“Amendment No. 1”).

 

The information reported in the Schedule 13D remains in effect except to the extent that it is amended, restated and/or supplemented by information contained in this Amendment and in Amendment No. 1. Capitalized terms used but not defined in this Amendment have the meanings ascribed to them in the Schedule 13D.

 

Item 5.                                                         Interest in Securities of the Issuer.

 

Item 5(e) of the Schedule 13D is hereby amended and restated as follows:

 

(e)                                  The Reporting Persons ceased to be beneficial owners of five percent or more of the Issuer’s common stock on September 30, 2014 upon the expiration of the Zwanziger Options, McAleer Options and Scott Options.

 

12



 

SIGNATURE

 

After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

Dated: October 7, 2014

By:

/s/ Ron Zwanziger

 

 

Ron Zwanziger

 

 

Dated: October 7, 2014

By:

/s/ Janet M. Zwanziger

 

 

Janet M. Zwanziger

 

 

Dated: October 7, 2014

Zwanziger Family 2004 Irrevocable Trust

 

 

 

 

 

By:

/s/ Orit Goldstein, Trustee

 

 

 

 

Dated: October 7, 2014

Zwanziger Family 2012 Irrevocable Family Trust

 

 

 

 

 

By:

/s/ Orit Goldstein, Trustee

 

 

Dated: October 7, 2014

Zwanziger Family 2009 Irrevocable Trust

 

 

 

 

 

By:

/s/ Orit Goldstein, Trustee

 

 

Dated: October 7, 2014

Zwanziger Family Ventures LLC

 

 

 

 

 

By:

/s/ Ron Zwanziger

 

Its: Manager

 

 

 

 

Dated: October 7, 2014

The Ron Zwanziger Family Trust-1990

 

 

 

 

 

By:

/s/ Orit Goldstein, Trustee

 

 

 

 

Dated: October 7, 2014

Ron Zwanziger 2004 Revocable Trust

 

 

 

 

 

By:

/s/ Ron Zwanziger, Trustee

 

 

 

 

Dated: October 7, 2014

By:

/s/ David Scott, Ph.D.

 

 

David Scott, Ph.D.

 

 

 

 

Dated: October 7, 2014

By:

/s/ Jerome F. McAleer, Ph.D.

 

 

Jerome F. McAleer, Ph.D.

 

13