Item 5. Other Information
Item 5. Other Information
On May 23, 2023 , Evan Bakst , a Director of the Company, entered into a written plan for the sale of an aggregate 8,700 shares of common stock. The plan is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act, and is scheduled to terminate no later than September 15, 2023 .
On June 13, 2023 , Patrick S. Miles , the Company's Chief Executive Officer , entered into a written plan for the sale of an aggregate 359,375 shares of common stock. The plan is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act, and is scheduled to terminate no later than June 13, 2024 .
On June 14, 2023 , J. Todd Koning , the Company's Chief Financial Officer , entered into a written plan for the sale of an aggregate 92,832 shares of common stock. The plan is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act, and is scheduled to terminate no later than June 14, 2024 .
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Item 6. E xhibits
Exhibit
Number Exhibit Description
10.1
Third Amendment to the Alphatec Holdings, Inc. 2007 Employee Stock Purchase Plan (1)
10.2
Fifth Amendment to the Alphatec Holdings, Inc. 2016 Equity Incentive Plan (2)
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 six months ended June 30, 2023, formatted in iXBRL (Inline eXtensible Business Reporting Language): (i) Condensed Consolidated Balance Sheets (Unaudited) as of June 30, 2023 and December 31, 2022, (ii) Condensed Consolidated Statements of Operations (Unaudited) for the Three and Six Months Ended June 30, 2023 and 2022, (iii) Condensed Consolidated Statements of Comprehensive Loss (Unaudited) for the Three and Six Months Ended June 30, 2023 and 2022, (iv) Condensed Consolidated Statements of Stockholders’ (Deficit) Equity (Unaudited) for the Three and Six Months Ended June 30, 2023 and 2022, (v) Condensed Consolidated Statements of Cash Flows (Unaudited) for the Six Months Ended June 30, 2023 and 2022, and (vi) Notes to Condensed Consolidated Financial Statements (Unaudited).
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Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101.INS)
(1) Incorporated by reference to Exhibit 10.1 to our Current Report on Form 8-K filed with the SEC on June 15, 2023.
(2) Incorporated by reference to Exhibit 10.2 to our Current Report on Form 8-K filed with the SEC on June 15, 2023.
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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: August 3, 2023
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.