Filing Details
- Accession Number:
- 0001415889-23-003727
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-01 21:05:31
- Reporting Period:
- 2023-02-27
- Accepted Time:
- 2023-03-01 21:05:31
- 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 |
|---|---|---|---|---|---|---|---|
| 1831608 | Scott Lish | C/O Alphatec Spine, Inc. 1950 Camino Vida Roble Carlsbad CA 92008 | Svp, Development | No | 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 | Disposition | 2023-02-27 | 25,372 | $14.76 | 430,522 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-03-01 | 13,493 | $3.50 | 444,015 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-03-01 | 2,924 | $16.15 | 441,091 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants (right to buy) | Disposition | 2023-03-01 | 13,493 | $0.00 | 13,493 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-05-17 | 2023-05-17 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2022, to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of restricted stock units.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.51 to $14.94, 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.
- Includes 2,034 shares and 826 shares acquired under the issuer's employee stock purchase plan on May 13, 2022 and November 15, 2022, respectively.
- On March 1, 2023, the reporting person exercised warrants to purchase 13,493 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 2,924 of the warrant shares to pay the exercise price and issuing to the reporting person 10,569 shares.
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