Home > Insider Trading > Filing (0001179110-21-002291)

Filing Details

Accession Number:: 0001179110-21-002291
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-02-25 19:41:34
Reporting Period:: 2021-02-23

Accepted Time:: 2021-02-25 19:41:34
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1350653	Alphatec Holdings Inc.	ATEC	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1230641	L L James Tullis	C/O Alphatec Spine, Inc. 5818 El Camino Real Carlsbad CA 92008		Yes	No	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	Explanation
Common Stock	Acquisiton	2021-02-23	18,337	$3.50	150,756	No	4	X	Direct
Common Stock	Disposition	2021-02-23	3,887	$16.51	146,869	No	4	S	Direct
Common Stock	Acquisiton	2021-02-23	320,325	$3.50	636,153	No	4	X	Indirect	By Tullis Growth Fund, L.P.
Common Stock	Disposition	2021-02-23	67,906	$16.51	568,247	No	4	S	Indirect	By Tullis Growth Fund, L.P.
Common Stock	Acquisiton	2021-02-23	440,973	$3.50	1,584,776	No	4	X	Indirect	By Tullis Dickerson Capital Focus III, LP
Common Stock	Disposition	2021-02-23	93,483	$16.51	1,491,293	No	4	S	Indirect	By Tullis Dickerson Capital Focus III, LP
Common Stock	Disposition	2021-02-23	600,000	$0.00	891,293	No	4	J	Indirect	By Tullis Dickerson Capital Focus III, LP
Common Stock	Acquisiton	2021-02-23	131,870	$0.00	248,225	No	4	J	Indirect	By Tullis-Dickerson Partners III, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	X	Direct
No	4	S	Direct
No	4	X	Indirect	By Tullis Growth Fund, L.P.
No	4	S	Indirect	By Tullis Growth Fund, L.P.
No	4	X	Indirect	By Tullis Dickerson Capital Focus III, LP
No	4	S	Indirect	By Tullis Dickerson Capital Focus III, LP
No	4	J	Indirect	By Tullis Dickerson Capital Focus III, LP
No	4	J	Indirect	By Tullis-Dickerson Partners III, LLC

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants (right to buy)	Disposition	2021-02-23	18,337	$0.00	18,337	$3.50
Common Stock	Warrants (right to buy)	Disposition	2021-02-23	320,325	$0.00	320,325	$3.50
Common Stock	Warrants (right to buy)	Disposition	2021-02-23	440,973	$0.00	440,973	$3.50

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
18,338	No	4	X	Direct
320,326	No	4	X	Indirect
440,973	No	4	X	Indirect

Footnotes

On February 23, 2021, the reporting person exercised warrants to purchase 18,337 shares of the issuer's common stock for $3.50 per share. The reporting person paid the exercise price on a cashless basis, resulting in the issuer withholding 3,887 of the warrant shares to pay the exercise price and issuing to the reporting person 14,450 shares.
On February 23, 2021, Tullis Growth Fund, L.P. exercised warrants to purchase 320,325 shares of the issuer's common stock for $3.50 per share. Tullis Growth Fund, L.P. paid the exercise price on a cashless basis, resulting in the issuer withholding 67,906 of the warrant shares to pay the exercise price and issuing to Tullis Growth Fund, L.P. 252,419 shares.
On February 23, 2021, Tullis Dickerson Capital Focus III, LP exercised warrants to purchase 440,973 shares of the issuer's common stock for $3.50 per share. Tullis Dickerson Capital Focus III, LP paid the exercise price on a cashless basis, resulting in the issuer withholding 93,483 of the warrant shares to pay the exercise price and issuing to Tullis Dickerson Capital Focus III, LP 347,490 shares.
On February 23, 2021, Tullis Dickerson Capital Focus III, LP distributed 600,000 shares to its limited partners on a pro rata basis. Tullis Dickerson Partners III, LLC received 131,870 shares in the distribution.
Each Warrant is exercisable for one share of the issuer's common stock for a period of five years following the date that stockholder approval of the issuance of the Warrants was obtained. The stockholders approved such issuance on May 17, 2018.