Tullis James L L's Form 4 filing
Alphatec Holdings, Inc. (ATEC) · filed Apr 11, 2022
- Accession no.
- 0001179110-22-002643
- Filed
- Apr 11, 2022
- Trade date
- Apr 7, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $900.5K. 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 |
|---|---|
| Tullis James L LCIK 0001230641 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 7, 2022 | Common Stock | XIn-the-money exerciseAcquired | +6,052 | $3.50 | +$21,182 | 163,142 | Direct | |
| Apr 7, 2022 | Common Stock | SSaleDisposed | −1,630 | $12.99 | −$21,173.7 | 161,512 | Direct | |
| Apr 7, 2022 | Common Stock | XIn-the-money exerciseAcquired | +105,708 | $3.50 | +$369,978 | 576,455 | Indirect | |
| Apr 7, 2022 | Common Stock | SSaleDisposed | −28,481 | $12.99 | −$369,968.19 | 547,974 | Indirect | |
| Apr 7, 2022 | Common Stock | XIn-the-money exerciseAcquired | +145,522 | $3.50 | +$509,327 | 1,036,815 | Indirect | |
| Apr 7, 2022 | Common Stock | SSaleDisposed | −39,209 | $12.99 | −$509,324.91 | 997,606 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 7, 2022 | Common Stock | XIn-the-money exerciseDisposed | −6,052 | $0.00 | $0 | 12,286 | Direct | |
| Apr 7, 2022 | Common Stock | XIn-the-money exerciseDisposed | −105,708 | $0.00 | $0 | 214,618 | Indirect | |
| Apr 7, 2022 | Common Stock | XIn-the-money exerciseDisposed | −145,522 | $0.00 | $0 | 295,451 | Indirect |
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.
No transaction price on this filing refers to a footnote.