Form 4 for ATEC Alphatec Holdings, Inc.
Accepted 2022-04-11 00:00:00 ET · period of report 2022-04-07 · accession 0001179110-22-002643 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-04-11 | 2022-04-07 | ATEC | TULLIS JAMES L L | Dir | S - Sale+OE | $12.99 | -1,630 | 161.5K | -1.0% | -$21.2K |
| DMI | 2022-04-11 | 2022-04-07 | ATEC | TULLIS JAMES L L | Dir | X - OptEx | $3.50 | +251.2K | 1.04M | +32% | +$879.3K |
| DMI | 2022-04-11 | 2022-04-07 | ATEC | TULLIS JAMES L L | Dir | S - Sale+OE | $12.99 | -67.7K | 548.0K | -11% | -$879.3K |
| D | 2022-04-11 | 2022-04-07 | ATEC | TULLIS JAMES L L | Dir | X - OptEx | $3.50 | +6,052 | 163.1K | +4% | +$21.2K |
| D | 2022-04-11 | 2022-04-07 | ATEC | TULLIS JAMES L L | Dir | X - OptEx | $0.00 | -6,052 | 12.3K | -33% | $0 |
| DMI | 2022-04-11 | 2022-04-07 | ATEC | TULLIS JAMES L L | Dir | X - OptEx | $0.00 | -251.2K | 214.6K | -54% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-04-07 | S | D | 1,630 | $12.99 | 161,512 | D By Tullis Growth Fund, L.P. | — | — | |
| 2 | Common | Common Stock | 2022-04-07 | X | A | 105,708 | $3.50 | 576,455 | I By Tullis Dickerson Capital Focus III, LP | — | — | |
| 3 | Common | Common Stock | 2022-04-07 | X | A | 145,522 | $3.50 | 1,036,815 | I | — | — | |
| 4 | Common | Common Stock | 2022-04-07 | S | D | 39,209 | $12.99 | 997,606 | I | — | — | |
| 5 | Common | Common Stock | 2022-04-07 | X | A | 6,052 | $3.50 | 163,142 | D By Tullis Growth Fund, L.P. | — | — | |
| 6 | Common | Common Stock | 2022-04-07 | S | D | 28,481 | $12.99 | 547,974 | I By Tullis Dickerson Capital Focus III, LP | — | — | |
| 7 | Derivative | Warrants (right to buy) | 2022-04-07 | X | D | 6,052 | $0.00 | 12,286 | D By Tullis Growth Fund, L.P. | $3.50 · — to — | 6,052 Common Stock | (F4) 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. |
| 8 | Derivative | Warrants (right to buy) | 2022-04-07 | X | D | 145,522 | $0.00 | 295,451 | I | $3.50 · — to — | 145,522 Common Stock | (F4) 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. |
| 9 | Derivative | Warrants (right to buy) | 2022-04-07 | X | D | 105,708 | $0.00 | 214,618 | I By Tullis Dickerson Capital Focus III, LP | $3.50 · — to — | 105,708 Common Stock | (F4) 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. |