Form 4 for ATEC Alphatec Holdings, Inc.
Accepted 2023-05-16 00:00:00 ET · period of report 2023-05-15 · accession 0001415889-23-008134 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-05-16 | 2023-05-15 | ATEC | TULLIS JAMES L L | Dir | M - OptEx | $3.50 | +255.0K | 545.3K | +88% | +$892.6K |
| DMI | 2023-05-16 | 2023-05-15 | ATEC | TULLIS JAMES L L | Dir | F - Tax | $15.44 | -57.8K | 511.8K | -10% | -$892.6K |
| D | 2023-05-16 | 2023-05-15 | ATEC | TULLIS JAMES L L | Dir | F - Tax | $15.44 | -1,392 | 192.3K | -0.7% | -$21.5K |
| D | 2023-05-16 | 2023-05-15 | ATEC | TULLIS JAMES L L | Dir | M - OptEx | $3.50 | +6,143 | 193.7K | +3% | +$21.5K |
| DMI | 2023-05-16 | 2023-05-15 | ATEC | TULLIS JAMES L L | Dir | M - OptEx | $0.00 | -255.0K | 147.7K | -63% | $0 |
| D | 2023-05-16 | 2023-05-15 | ATEC | TULLIS JAMES L L | Dir | M - OptEx | $0.00 | -6,143 | 6,143 | -50% | $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 | 2023-05-15 | M | A | 107,309 | $3.50 | 575,283 | I By Tullis Growth Fund, L.P. | — | — | |
| 2 | Common | Common Stock | 2023-05-15 | F | D | 24,325 | $15.44 | 550,958 | I By Tullis Growth Fund, L.P. | — | — | |
| 3 | Common | Common Stock | 2023-05-15 | F | D | 33,487 | $15.44 | 511,844 | I By Tullis Dickerson Capital Focus III, LP | — | — | |
| 4 | Common | Common Stock | 2023-05-15 | F | D | 1,392 | $15.44 | 192,309 | D | — | — | |
| 5 | Common | Common Stock | 2023-05-15 | M | A | 147,725 | $3.50 | 545,331 | I By Tullis Dickerson Capital Focus III, LP | — | — | |
| 6 | Common | Common Stock | 2023-05-15 | M | A | 6,143 | $3.50 | 193,701 | D | — | — | |
| 7 | Derivative | Warrants (right to buy) | 2023-05-15 | M | D | 107,309 | $0.00 | 107,309 | I By Tullis Growth Fund, L.P. | $3.50 · 2018-05-17 to 2023-05-17 | 107,309 Common Stock | |
| 8 | Derivative | Warrants (right to buy) | 2023-05-15 | M | D | 6,143 | $0.00 | 6,143 | D | $3.50 · 2018-05-17 to 2023-05-17 | 6,143 Common Stock | |
| 9 | Derivative | Warrants (right to buy) | 2023-05-15 | M | D | 147,725 | $0.00 | 147,726 | I By Tullis Dickerson Capital Focus III, LP | $3.50 · 2018-05-17 to 2023-05-17 | 147,725 Common Stock |