Statement of Changes in Beneficial Ownership (4)
12 April 2022 - 12:55AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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TULLIS JAMES L L |
2. Issuer Name and Ticker or Trading Symbol
Alphatec Holdings, Inc.
[
ATEC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ALPHATEC SPINE, INC., 1950 CAMINO VIDA ROBLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/7/2022 |
(Street)
CARLSBAD, CA 92008
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/7/2022 | | X | | 6052 | A | $3.5 | 163142 | D | |
Common Stock | 4/7/2022 | | S(1) | | 1630 | D | $12.99 | 161512 | D | |
Common Stock | 4/7/2022 | | X | | 105708 | A | $3.5 | 576455 | I | By Tullis Growth Fund, L.P. |
Common Stock | 4/7/2022 | | S(2) | | 28481 | D | $12.99 | 547974 | I | By Tullis Growth Fund, L.P. |
Common Stock | 4/7/2022 | | X | | 145522 | A | $3.5 | 1036815 | I | By Tullis Dickerson Capital Focus III, LP |
Common Stock | 4/7/2022 | | S(3) | | 39209 | D | $12.99 | 997606 | I | By Tullis Dickerson Capital Focus III, LP |
Common Stock | | | | | | | | 248225 | I | By Tullis-Dickerson Partners III, LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrants (right to buy) | $3.5 | 4/7/2022 | | X | | | 6052 | (4) | (4) | Common Stock | 6052 | $0 | 12286 | D | |
Warrants (right to buy) | $3.5 | 4/7/2022 | | X | | | 105708 | (4) | (4) | Common Stock | 105708 | $0 | 214618 | I | By Tullis Growth Fund, L.P. |
Warrants (right to buy) | $3.5 | 4/7/2022 | | X | | | 145522 | (4) | (4) | Common Stock | 145522 | $0 | 295451 | I | By Tullis Dickerson Capital Focus III, LP |
Explanation of Responses: |
(1) | 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. |
(2) | 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. |
(3) | 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. |
(4) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TULLIS JAMES L L C/O ALPHATEC SPINE, INC. 1950 CAMINO VIDA ROBLE CARLSBAD, CA 92008 | X |
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Signatures
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/s/ James L.L. Tullis | | 4/11/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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