SEC Form 4 · accession 0001140361-18-024930
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
May 17, 2018
Accepted (ET)
May 21, 2018 · 4:32 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 StockF1,F2,F3 | May 17, 2018 | C | 7,936,508 | — | A | 7,936,508 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF2,F3,F1 | — | May 17, 2018 | C | 25,000 | D | — | — | Common Stock | 7,936,508 | 0 | D |
Explanation of responses
- F1The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.
- F2Each of Jason Hochberg and Evan Bakst serve on the board of directors of the issuer as a representative of the reporting persons. As a result, each reporting person herein may be deemed a director by deputization for the purposes of Section 16 of the Exchange Act.
- F3Paul Segal directly (through his position as manager of L-5 Healthcare Partners, LLC ("L-5")) may be deemed to control L-5 and to have shared voting and investment power with respect to the shares beneficially owned by L-5. As such, Mr. Segal may be deemed to have shared beneficial ownership of the shares beneficially owned by L-5. Mr. Segal, however, disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest therein.