Filing Details

Accession Number:
0000950142-21-001592
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2021-05-13 17:22:47
Reporting Period:
2021-03-25
Accepted Time:
2021-05-13 17:22:47
Original Submission Date:
2021-04-08
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
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 60,569 $0.00 283,916 No 4 A Direct
Common Stock Disposition 2021-04-06 38,919 $16.83 840,218 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 S Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Acquisiton 2021-03-25 762,270 $0.00 762,720 $18.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
762,720 2031-03-25 No 4 A Direct
Footnotes
  1. 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)
  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.
  3. Represents 60,569 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.
  4. 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).
  5. 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.
  6. Represents 762,720 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.
  7. Vest 25% on the first four anniversaries of the initial vesting date.