SEC Form 4 · accession 0000899243-17-009013

Alphatec Holdings, Inc. · ATEC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — See Remarks

Period of report

Mar 20, 2017

Accepted (ET)

Mar 31, 2017 · 4:40 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001350653

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock - Restricted Stock Units^F1,F2	Mar 31, 2017	A	75,000	$0.00	A	75,000	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F3	$2.87	Mar 20, 2017	A	75,000	A	—	Mar 19, 2027	Common Stock	75,000	75,000	D
Series A Convertible Preferred Stock^F4	$2.00	Mar 29, 2017	A	100	A	—	—	Common Stock	50,000	100	D
Warrants (right to buy)^F5	$2.00	Mar 29, 2017	A	50,000	A	—	—	Common Stock	50,000	50,000	D

F1The restricted stock units ("RSUs") vest annually within 25% vesting on the anniversary of the grant date, and 25% vesting each anniversary thereafter.
F2Each RSU represents a contingent right to receive one share of the issuer's common stock.
F3The options vest over four years with 25% vesting on the anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter.
F4Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained.
F5Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

EVP, Strategic Marketing and Product Development