Home > Insider Trading > Filing (0001179110-22-002643)

Filing Details

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. 1950 Camino Vida Roble Carlsbad CA 92008		Yes	No	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	Acquisiton	2022-04-07	6,052	$3.50	163,142	No	4	X	Direct
Common Stock	Disposition	2022-04-07	1,630	$12.99	161,512	No	4	S	Direct
Common Stock	Acquisiton	2022-04-07	105,708	$3.50	576,455	No	4	X	Indirect	By Tullis Growth Fund, L.P.
Common Stock	Disposition	2022-04-07	28,481	$12.99	547,974	No	4	S	Indirect	By Tullis Growth Fund, L.P.
Common Stock	Acquisiton	2022-04-07	145,522	$3.50	1,036,815	No	4	X	Indirect	By Tullis Dickerson Capital Focus III, LP
Common Stock	Disposition	2022-04-07	39,209	$12.99	997,606	No	4	S	Indirect	By Tullis Dickerson Capital Focus III, LP

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

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants (right to buy)	Disposition	2022-04-07	6,052	$0.00	6,052	$3.50
Common Stock	Warrants (right to buy)	Disposition	2022-04-07	105,708	$0.00	105,708	$3.50
Common Stock	Warrants (right to buy)	Disposition	2022-04-07	145,522	$0.00	145,522	$3.50

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
12,286	No	4	X	Direct
214,618	No	4	X	Indirect
295,451	No	4	X	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	248,225	Indirect	By Tullis-Dickerson Partners III, LLC

Footnotes

On April 7, 2022, the reporting person exercised warrants to purchase 6,052 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 1,630 of the warrant shares to pay the exercise price and issuing to the reporting person 4,422 shares.
On April 7, 2022, Tullis Growth Fund, L.P. exercised warrants to purchase 105,708 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 28,481 of the warrant shares to pay the exercise price and issuing to Tullis Growth Fund, L.P. 77,227 shares.
On April 7, 2022, Tullis Dickerson Capital Focus III, LP exercised warrants to purchase 145,522 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 39,209 of the warrant shares to pay the exercise price and issuing to Tullis Dickerson Capital Focus III, LP 106,313 shares.
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.