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Filing Details

Accession Number:: 0001179110-19-006134
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-05-15 20:14:55
Reporting Period:: 2019-05-13

Accepted Time:: 2019-05-15 20:14:55
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1350653	Alphatec Holdings Inc.	ATEC	Surgical & Medical Instruments & Apparatus (3841)	202463898

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1509282	E Craig Hunsaker	C/O Alphatec Spine, Inc. 5818 El Camino Real Carlsbad CA 92008	Evp, People/Culture & Gc	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2019-05-13	228,078	$0.00	854,092	No	4	A	Direct
Common Stock	Acquisiton	2019-05-13	57,020	$0.00	911,112	No	4	A	Direct
Common Stock	Disposition	2019-05-15	50,000	$4.50	861,112	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	A	Direct
No	4	S	Direct

Footnotes

On May 13, 2019, issuer granted to the reporting person 228,078 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date; provided, however, that no portion of the restricted stock units shall vest at any time during the first four years following the grant date unless and until the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $5.36 per share (representing a 30% increase in the price per share as of the grant date). Should the publicly traded stock price for the issuer's common stock reach a 30-day average trading price at or above $5.36 per share, this pricing condition on the vesting of the restricted stock units shall be satisfied, and shall terminate.
On May 13, 2019, issuer granted to the reporting person 57,020 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest on the fourth anniversary of grant date; provided, however, that no portion of such restricted stock units shall vest unless the publicly-traded stock price for the issuer's common stock at the close of the market on such fourth anniversary date is equal to or greater than $6.18 per share (representing a 50% increase in the price per share as of the grant date).
Each restricted stock unit represents a contingent right to receive one share of issuer's common stock.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 12, 2019.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $4.505, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 ranges set forth in this footnote.