Lish Scott's Form 4 filing
Alphatec Holdings, Inc. (ATEC) · filed Feb 28, 2022
- Accession no.
- 0001179110-22-001692
- Filed
- Feb 28, 2022
- Trade date
- Feb 24-25, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market sales total $200.1K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lish ScottCIK 0001831608 | Officer (SVP, Development) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 24, 2022 | Common Stock | AGrant or awardAcquired | +37,500 | $0.00F1 | $0 | 297,850 | Direct | |
| Feb 24, 2022 | Common Stock | AGrant or awardAcquired | +51,092 | $0.00F2 | $0 | 348,942 | Direct | |
| Feb 24, 2022 | Common Stock | SSaleDisposed | −12,500 | $9.44F5 | −$118,000 | 336,442 | Direct | |
| Feb 25, 2022 | Common Stock | SSaleDisposed | −8,000 | $10.26F6 | −$82,080 | 328,442 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On February 24, 2022, the issuer awarded 37,500 restricted stock units (RSUs) to the reporting person upon confirmation by the issuer's compensation committee of satisfaction of certain performance criteria for the fiscal year ended December 31, 2021. The RSUs vest in three equal installments on each of February 24, 2022, February 18, 2023 and February 18, 2024.
Referenced by the price of 1 transaction in Table I.
- F2
On February 24, 2022, the issuer granted to the reporting person 51,092 RSUs. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.07 to $9.86, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.18 to $10.38, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.