SEC Form 4 · accession 0001179110-18-010080

Alphatec Holdings, Inc. · ATEC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President & COO · Director

Period of report

Jul 30, 2018

Accepted (ET)

Aug 1, 2018 · 8:32 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001350653

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Jul 30, 2018	A	163,265	$0.00	A	732,102	D
Common Stock	holding	—	—		—	58,096	I	By IRA

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F3	$2.69	Jul 30, 2018	A	237,511	A	Jul 30, 2019	Jul 30, 2028	Common Stock	237,511	237,511	D

F1On July 30, 2018, issuer granted to the reporting person 163,265 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock.
F2The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date.
F3The option will vest 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments; provided, however, that no portion of the option shall be exercisable at any time during the first four years following the grant date unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $4.20 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $4.20 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.