[144] Alphatec Holdings, Inc. SEC Filing

Rhea-AI Filing Summary

Alphatec Holdings, Inc. (symbol ATEC) submitted a Form 144 notifying a proposed sale of 300,000 shares of common stock through Morgan Stanley Smith Barney LLC on the NASDAQ, with an aggregate market value of $4,770,000.00. The reported shares were acquired as Restricted Stock Units on 10/02/2020 and the acquisition and payment date is also listed as 10/02/2020. The filing shows 147,983,775 shares outstanding, and an approximate date of sale of 09/02/2025. The filer states there were no securities sold in the past three months for the account and includes the standard representation that the selling person does not possess undisclosed material adverse information.

Positive

• Clear disclosure of the broker (Morgan Stanley Smith Barney LLC), proposed sale date (09/02/2025), and aggregate market value ($4,770,000.00)
• No securities sold in the past three months for the account, indicating this is not part of an active recent selling pattern

Negative

• No identity provided for the selling person in the provided excerpt (filer CIK/CCC fields are blank in the content)
• Limited context on whether the sale is part of a broader plan (no 10b5-1 adoption date or additional remarks included)

Insights

Securities Analyst

TL;DR: Planned sale of 300,000 ATEC shares worth $4.77M is disclosed; size appears small relative to total shares outstanding.

The Form 144 shows a proposed brokerage sale via Morgan Stanley Smith Barney of 300,000 common shares valued at $4,770,000 and an outstanding share count of 147,983,775. The shares originated as Restricted Stock Units granted and acquired on 10/02/2020. Because the filing reports no sales in the past three months and specifies the planned sale date of 09/02/2025, this is a routine Section 144 notification allowing a person to sell restricted or control securities under Rule 144 conditions. Based solely on the filing, the position size of the planned sale represents a small fraction of total outstanding shares, suggesting limited direct market impact from this single notice.

Corporate Governance Expert

TL;DR: The notice documents a permitted disposition of RSUs; disclosure meets Rule 144 form requirements without additional governance flags.

The submission identifies the securities as Restricted Stock Units acquired from the issuer on 10/02/2020 and lists the broker, proposed sale date, and aggregate value. The signer affirms no undisclosed material adverse information, and the filing reports no recent sales by the account. There are no disclosures here of insider departures, related-party transactions, or exemptions relied upon beyond the Rule 144 notice itself. From a governance perspective, the filing is procedural and provides required transparency about an intended sale by a person holding RSUs.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	300000	4770000.00	147983775	09/02/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	10/02/2020	Restricted Stock Units	Issuer			300000	10/02/2020	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Alphatec Holdings (ATEC) Form 144 disclose?

The Form 144 discloses a proposed sale of 300,000 common shares via Morgan Stanley Smith Barney with an aggregate market value of $4,770,000.00 and an approximate sale date of 09/02/2025.

When were the shares being sold by ATEC acquired?

The filing states the shares were acquired as Restricted Stock Units on 10/02/2020, with acquisition/payment dated 10/02/2020.

How many ATEC shares are outstanding according to the filing?

The Form 144 lists 147,983,775 shares outstanding.

Does the filing show recent sales by the seller of ATEC stock?

No; the filing explicitly states Nothing to Report for securities sold during the past three months by the person for whose account the securities are to be sold.

Through which broker will the ATEC shares be sold?

The proposed sale is to be executed through Morgan Stanley Smith Barney LLC, Executive Financial Services located at 1 New York Plaza, 8th Floor, New York, NY.