Alphatec Holdings, Inc. 10-Q

Item 5. Other Information On November 2, 2022, the Compensation Committee of the Company’s Board of Directors approved an amendment to an existing performance incentive cash award granted to Patrick S. Miles in May 2019. As amended, the award will be paid in shares of the Company’s common stock rather than in cash, provided that the original performance criteria for the award are satisfied. Additionally, the payment date, if the performance criteria are satisfied, was extended from May 13, 2023 to June 30, 2023. As an inducement for Mr. Miles to accept the changes in the incentive award, the Compensation Committee also approved increasing the number of shares that Mr. Miles is eligible to receive under the award from 312,500 to 359,375. 37 Table of Contents Item 6. E xhibits Exhibit Number Exhibit Description 10.1 Credit Agreement, dated as of September 29, 2022, by and among Alphatec Holdings, Inc., Alphatec Spine, Inc. and the other borrowers from time to time party thereto, the guarantors from time to time party thereto, MidCap Financial Trust and the other lenders from time to time party thereto, and MidCap Funding IV Trust, as administrative agent (1) 31.1 Certification of Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2 Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32 Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101 The following materials from the Alphatec Holdings, Inc. Quarterly Report on Form 10-Q for the Three and Nine Months Ended September 30, 2022, formatted in iXBRL (Inline eXtensible Business Reporting Language): (i) Condensed Consolidated Balance Sheets (Unaudited) as of September 30, 2022 and December 31, 2021, (ii) Condensed Consolidated Statements of Operations (Unaudited) for the Three and Nine Months Ended September 30, 2022 and 2021, (iii) Condensed Consolidated Statements of Comprehensive Loss (Unaudited) for the Three and Nine Months Ended September 30, 2022 and 2021, (iv) Condensed Consolidated Statements of Stockholders’ (Deficit) Equity (Unaudited) for the Nine Months Ended September 30, 2022 and 2021, (v) Condensed Consolidated Statements of Cash Flows (Unaudited) for the Nine Months Ended September 30, 2022 and 2021, and (vi) Notes to Condensed Consolidated Financial Statements (Unaudited). 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101.INS) (1) Incorporated by reference to Exhibit 10.1 to the Company’s Form 8-K filed with the SEC on October 3, 2022. 38 Table of Contents SIGNAT URES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. ALPHATEC HOLDINGS, INC. By: /s/ Patrick S. Miles Patrick S. Miles Chairman and Chief Executive Officer (principal executive officer) By: /s/ J. Todd Koning J. Todd Koning Executive Vice President and Chief Financial Officer (principal financial officer and principal accounting officer) Date: November 3, 2022 39