0001179110-19-006134.txt : 20190515 0001179110-19-006134.hdr.sgml : 20190515 20190515201455 ACCESSION NUMBER: 0001179110-19-006134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190513 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hunsaker Craig E CENTRAL INDEX KEY: 0001509282 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52024 FILM NUMBER: 19830359 MAIL ADDRESS: STREET 1: C/O ALPHATEC HOLDINGS, INC. STREET 2: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alphatec Holdings, Inc. CENTRAL INDEX KEY: 0001350653 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 202463898 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 760-431-9286 MAIL ADDRESS: STREET 1: 5818 EL CAMINO REAL CITY: CARLSBAD STATE: CA ZIP: 92008 4 1 edgar.xml FORM 4 - X0306 4 2019-05-13 0 0001350653 Alphatec Holdings, Inc. ATEC 0001509282 Hunsaker Craig E C/O ALPHATEC SPINE, INC. 5818 EL CAMINO REAL CARLSBAD CA 92008 0 1 0 0 EVP, People/Culture & GC Common Stock 2019-05-13 4 A 0 228078 0 A 854092 D Common Stock 2019-05-13 4 A 0 57020 0 A 911112 D Common Stock 2019-05-15 4 S 0 50000 4.50 D 861112 D On May 13, 2019, issuer granted to the reporting person 228,078 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date; provided, however, that no portion of the restricted stock units shall vest at any time during the first four years following the grant date unless and until the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $5.36 per share (representing a 30% increase in the price per share as of the grant date). Should the publicly traded stock price for the issuer's common stock reach a 30-day average trading price at or above $5.36 per share, this pricing condition on the vesting of the restricted stock units shall be satisfied, and shall terminate. On May 13, 2019, issuer granted to the reporting person 57,020 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest on the fourth anniversary of grant date; provided, however, that no portion of such restricted stock units shall vest unless the publicly-traded stock price for the issuer's common stock at the close of the market on such fourth anniversary date is equal to or greater than $6.18 per share (representing a 50% increase in the price per share as of the grant date). Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 12, 2019. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $4.505, 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. /s/ Craig E. Hunsaker 2019-05-14