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