Alphatec Holdings, Inc. 10-Q

Item 5. Other Information Adoption, Modification or Termination of Trading Arrangements A portion of the compensation of our directors and officers is in the form of equity awards, and, from time to time, directors and officers engage in open-market transactions with respect to the securities they acquire pursuant to such equity awards we have issued. Transactions in our securities by directors and officers are required to be made in accordance with our insider trading policy, which requires that the transactions comply with applicable U.S. federal securities laws that prohibit trading while in possession of material nonpublic information. Rule 10b5-1 under the Exchange Act provides an affirmative defense that enables directors and officers to prearrange transactions in our securities in a manner that avoids concerns about initiating transactions while in possession of material nonpublic information. During the quarter ended June 30, 2026, none of our directors or executive officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted , modified or terminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). Amendment to Warrant Certificate Effective August 1, 2026, we entered into an Amended and Restated Warrant to Purchase Common Stock with Patrick S. Miles ("Amended Warrant"), to extend the expiration date of the existing warrant, originally issued on December 28, 2017, to December 31, 2030. Approval of Award Agreements Effective August 1, 2026, our Board of Directors adopted and approved forms of Stock Option Grant Notice and Option Agreement (the “Option Agreement”) and Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement (the “RSU Agreement”) for use with our 2026 Equity Incentive Plan, which plan was approved by our stockholders on June 10, 2026. The descriptions of the Amended Warrant, the Option Agreement and the RSU Agreement above do not purport to be complete and are qualified in their entirety by the full and complete terms of such documents, copies of which are attached hereto as Exhibit 4.1. 10.2 and 10.3 and incorporated herein by reference. 33 Table of Contents Item 6. E xhibits Exhibit Number Exhibit Description 4.1 Amended and Restated Warrant to Purchase Common Stock of Alphatec Holdings, Inc. issued to Patrick S. Miles 10.1 Credit Agreement dated May 1, 2026 (1) 10.2 Form of Stock Option Grant Notice and Stock Option Agreement under the 2026 Equity Incentive Plan 10.3 Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement under the 2026 Equity Incentive Plan 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, 2026, formatted in iXBRL (Inline eXtensible Business Reporting Language): (i) Condensed Consolidated Balance Sheets (Unaudited) as of June 30, 2026 and December 31, 2025, (ii) Condensed Consolidated Statements of Operations (Unaudited) for the Three and Six Months Ended June 30, 2026 and 2025, (iii) Condensed Consolidated Statements of Comprehensive Loss (Unaudited) for the Three and Six Months Ended June 30, 2026 and 2025, (iv) Condensed Consolidated Statements of Stockholders’ (Deficit) Equity (Unaudited) for the Three and Six months ended June 30, 2026 and 2025, (v) Condensed Consolidated Statements of Cash Flows (Unaudited) for the Six Months Ended June 30, 2026 and 2025, 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 our Current Report on Form 8-K filed with the SEC on May 5, 2026. 34 Table of Contents S IGNAT 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 4, 2026 35