0001415889-23-003727.txt : 20230301 0001415889-23-003727.hdr.sgml : 20230301 20230301210531 ACCESSION NUMBER: 0001415889-23-003727 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230227 FILED AS OF DATE: 20230301 DATE AS OF CHANGE: 20230301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lish Scott CENTRAL INDEX KEY: 0001831608 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52024 FILM NUMBER: 23696150 MAIL ADDRESS: STREET 1: C/O ALPHATEC SPINE, INC. STREET 2: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alphatec Holdings, Inc. CENTRAL INDEX KEY: 0001350653 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 202463898 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 760-431-9286 MAIL ADDRESS: STREET 1: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 4 1 form4-03022023_020316.xml X0306 4 2023-02-27 0001350653 Alphatec Holdings, Inc. ATEC 0001831608 Lish Scott C/O ALPHATEC SPINE, INC. 1950 CAMINO VIDA ROBLE CARLSBAD CA 92008 false true false false SVP, DEVELOPMENT Common Stock 2023-02-27 4 S 0 25372 14.76 D 430522 D Common Stock 2023-03-01 4 M 0 13493 3.50 A 444015 D Common Stock 2023-03-01 4 F 0 2924 16.15 D 441091 D Warrants (right to buy) 3.50 2023-03-01 4 M 0 13493 0 D 2018-05-17 2023-05-17 Common Stock 13493 0 D 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. /s/ Tyson E. Marshall, Attorney-in-Fact 2023-03-01