Alphatec (ATEC) Form 3 Alphatec / Scott Lish ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Lish Scott

(Last) (First) (Middle)

C/O ALPHATEC SPINE, INC.

5818 EL CAMINO REAL

(Street)

CARLSBAD CA 92008

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/01/2020

3. Issuer Name and Ticker or Trading Symbol
Alphatec Holdings, Inc. [ ATEC ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP, Development

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	293,674	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	11/07/2018(1)	11/07/2027	Common Stock	25,000	3.63	D
Employee Stock Option (right to buy)	03/22/2019(2)	03/22/2028	Common Stock	25,000	3.35	D
Employee Stock Option (right to buy)	07/30/2019(3)	07/30/2028	Common Stock	60,000	2.69	D
Warrants (right to buy)	03/08/2018	03/08/2023	Common Stock	13,493	3.5	D

Explanation of Responses:

1. The option vests 25% on November 7, 2018 (the first anniversary of the grant date) and thereafter in 36 equal monthly installments.

2. The option vests 25% on March 22, 2019 (the first anniversary of the grant date) and thereafter in 36 equal monthly installments.

3. The option vests 25% on July 30, 2019 (the first anniversary of the grant date) and thereafter in 36 equal monthly installments.

	/s/ Scott Lish	11/09/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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