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Filing Details

Accession Number:: 0000899243-21-015446
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-04-08 20:37:26
Reporting Period:: 2021-03-25

Accepted Time:: 2021-04-08 20:37:26
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1832466	Alignment Healthcare Inc.	ALHC	Hospital & Medical Service Plans (6324)	465596242

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1850414	Thomas Robert Freeman	C/O Alignment Healthcare, Inc. 1100 W. Town &Amp; Country Road, Suite 1600 Orange CA 92868	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, Par Value $0.001 Per Share ("Common Stock")	Acquisiton	2021-03-25	57,090	$0.00	223,347	No	4	A	Direct
Common Stock	Acquisiton	2021-03-25	15,142	$0.00	238,489	No	4	A	Direct
Common Stock	Acquisiton	2021-03-25	45,427	$0.00	924,564	No	4	A	Indirect	See footnote
Common Stock	Disposition	2021-04-06	38,919	$16.83	885,645	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	A	Direct
No	4	A	Direct
No	4	A	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Acquisiton	2021-03-25	190,680	$0.00	190,680	$18.00
Common Stock	Stock Option (right to buy)	Acquisiton	2021-03-25	572,040	$0.00	572,040	$18.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
190,680		2031-03-25	No	4	A	Direct
572,040		2031-03-25	No	4	A	Indirect

Footnotes

Represents 38,060 shares of Common Stock of Alignment Healthcare, Inc. (the "Company") and 19,030 restricted shares of Common Stock of the Company that will vest upon a change of control of the Company or otherwise (A) if received in exchange for pre-IPO (as defined below) transaction-based stock appreciation rights, on the later of (x) the four-year anniversary of the initial vesting date, or (y) 50% on the first anniversary of Company's initial public offering (the "IPO") and 50% on the second anniversary of the IPO, in each case, subject to Ms. Freeman's continued employment or service on each such vesting date and (B) if received in exchange for pre-IPO service-based stock appreciation rights, and (Continued in Footnote 2)
(Continued From Footnote 1) (B) if received in exchange for pre-IPO service-based stock appreciation rights, according to the pre-IPO vesting schedule applicable to Mr. Freeman disclosed in the "Executive Compensation - Outstanding Equity Awards at Fiscal Year End" section of the Company's registration statement on Form S-1. The securities covered by such transaction were previously included on Mr. Freeman's Form 3.
Represents 15,142 restricted stock units, each restricted stock unit representing the right to receive one share of Common Stock of the Company, that will vest 25% on the first four anniversaries of the initial vesting date. The securities covered by such transaction were previously included on Mr. Freeman's Form 3.
Represents 45,427 restricted stock units, each restricted stock unit representing the right to receive one share of Common Stock of the Company, that will vest 25% on the first four anniversaries of the initial vesting date. The securities covered by such transaction were previously included on Mr. Freeman's Form 3.
Represents securities held by FCO Holdings LLC, a limited liability company owned by FCO Holdings Trust One, an irrevocable trust of which Mr. Freeman is an indirect beneficiary.
Represents 38,919 shares of Common Stock sold pursuant to the partial exercise by the underwriters of their over-allotment option after the closing of the Company's initial public offering, at a price of $16.83 (net of underwriting discount).
Represents 190,680 options to purchase Common Stock of the Company at the initial public offering price. The securities covered by such transaction were previously included on Mr. Freeman's Form 3.
Vest 25% on the first four anniversaries of the initial vesting date.
Represents 572,042 options to purchase Common Stock of the Company at the initial public offering price. The securities covered by such transaction were previously included on Mr. Freeman's Form 3.