SEC Form 4 · accession 0000899243-18-017196
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mortimer Berkowitz III
Director
Period of report
Jun 15, 2018
Accepted (ET)
Jun 19, 2018 · 5:00 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 StockF2 | Jun 15, 2018 | J | 906,431 | $0.00 | D | 0 | I | Held By HealthpointCapital Partners, L.P. |
| Common StockF2 | Jun 15, 2018 | J | 1,742,546 | $0.00 | D | 0 | I | Held By HealthpointCapital Partners II, L.P. |
| Common StockF3 | Jun 15, 2018 | J | 2,807 | $0.00 | A | 330,725 | D | |
| Common StockF3 | Jun 15, 2018 | J | 8,396 | $0.00 | A | 339,121 | D | |
| Common StockF4 | holding | — | — | — | 326,985 | I | Held By Porcupine Investment Partners, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is being filed to report (a) the pro rata distribution of 906,431 shares of the Issuer's common stock by HealthpointCapital Partners, L.P. to its limited partners for no consideration (the "Fund I Distribution"); (b) the pro rata distribution of 1,742,546 shares of the Issuer's common stock by HealthpointCapital Partners II, L.P. to its limited partners for no consideration (the "Fund II Distribution"); (c) the receipt of 2,807 shares of the Issuer's common stock by the Reporting Person in the Fund I Distribution as a limited partner of HealthpointCapital Partners, L.P.; and (d) the receipt of 8,396 shares of the Issuer's common stock by the Reporting Person in the Fund II Distribution as a limited partner of HealthpointCapital Partners II, L.P.
- F2The Reporting Person is a managing member of HGP LLC, which is the general partner of HealthpointCapital Partners, L.P. In addition, the Reporting Person is a managing member of HGP II, LLC, which is the general partner of HealthpointCapital Partners II, L.P. As such, the Reporting Person may be deemed to beneficially own the securities held by HealthpointCapital Partners, L.P. and HealthpointCapital Partners II, L.P. The Reporting Person, however, disclaims beneficial ownership of such shares except as to the extent of his pecuniary interest therein.
- F3Includes shares owned by the Reporting Person and shares owned by the Reporting Person's spouse.
- F4The Report Person is the managing member of Porcupine Investment Partners, LLC and may be deemed to beneficially own the securities held by Porcupine Investment Partners, LLC. The Reporting Person, however, disclaims beneficial ownership of such shares except as to the extent of his pecuniary interest therein.