Alphatec Holdings Inc.

12/13/2024 | Press release | Distributed by Public on 12/13/2024 15:33

Statement of Changes in Beneficial Ownership (Form 4)

Ownership Submission
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Hunsaker Craig E
2. Issuer Name and Ticker or Trading Symbol
Alphatec Holdings, Inc. [ATEC] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, PEOPLE & CULTURE
(Last) (First) (Middle)
C/O ALPHATEC SPINE, INC., 1950 CAMINO VIDA ROBLE 		3. Date of Earliest Transaction (Month/Day/Year)
12/10/2024
(Street)
CARLSBAD, CA 92008 		4. If Amendment, Date Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3) 		2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8) 		4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 		5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) 		6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) 		7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/10/2024 M 36,301 A $2.69 1,224,745 D
Common Stock 12/10/2024 M 1,866 A $1.93 1,226,611 D
Common Stock 12/10/2024 M 72,752 A $1.68 1,299,363 D
Common Stock 12/10/2024 F 23,157 D $9.65(1) 1,276,206 D
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3) 		2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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
(Month/Day/Year) 		7. Title and Amount of Underlying Securities
(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
Employee Stock Option (right to buy) $1.93 12/10/2024 M 1,866 06/15/2017(2) 06/15/2027 Common Stock 1,866 $ 0 31,701 D
Employee Stock Option (right to buy) $1.68 12/10/2024 M 72,752 07/26/2018(3) 07/26/2027 Common Stock 72,752 $ 0 120,208 D
Employee Stock Option (right to buy) $2.69 12/10/2024 M 36,301 07/30/2019(4) 07/30/2028 Common Stock 36,301 $ 0 78,249 D

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Hunsaker Craig E
C/O ALPHATEC SPINE, INC.
1950 CAMINO VIDA ROBLE
CARLSBAD, CA 92008 		EVP, PEOPLE & CULTURE

Signatures

/s/ Tyson E. Marshall, Attorney-in-Fact 12/13/2024
**Signature of Reporting Person Date

Explanation of Responses:

* 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).
(1) On December 10, 2024, the reporting person exercised options to purchase 36,301 shares of the issuer's common stock for $2.69 per share, 1,866 shares of the issuer's common stock for $1.93 per share, and 72,752 shares of the issuer's common stock for $1.68 per share. The reporting person paid the exercise price on a cashless basis, resulting in the issuer withholding 23,157 of the option shares to pay the exercise price and issuing to the reporting person 87,762 shares.
(2) The option grant was approved by a committee of the Issuer's Board of Directors on February 21, 2017, subject to shareholder approval of an amendment to the Issuer's 2016 Equity Incentive Plan to increase the maximum number of shares that may be granted to any one participant during a one-year period to 500,000. The Issuer's shareholders approved the amendment on June 15, 2017. The option vested in 36 monthly installments beginning March 21, 2017, except that all vesting attributable to periods prior to June 15, 2017 was deemed to have occurred on June 15, 2017.
(3) The option vested over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter.
(4) The option vested 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.