SEC Form 4 · accession 0001179110-17-009514

Alphatec Holdings, Inc. · ATEC

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

Reporting owner

Officer — EVP, People & Culture and GC

Period of report

Jun 15, 2017

Accepted (ET)

Jun 23, 2017 · 3:42 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^F1	Jun 21, 2017	M	250,000	$0.00	A	427,388	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F2	$1.93	Jun 15, 2017	A	33,576	A	Jun 15, 2017	Jun 15, 2027	Common Stock	33,576	33,576	D
Series A Convertible Preferred Stock^F3	$0.00	Jun 21, 2017	M	500	D	—	—	Common Stock	250,000	0	D

F1Includes 4,166 shares acquired on May 15, 2017, under the Issuer's 2007 Employee Stock Purchase Plan.
F2The option grant was approved by a committee of the Issuer's Board of Directors on February 21, 2017, subject to shareholder approval of an amendment to the Issuer's 2016 Equity Incentive Plan to increase the maximum number of shares that may be granted to any one participant during a one-year period to 500,000. The Issuer's shareholders approved the amendment on June 15, 2017. The option vests in 36 monthly installments beginning March 21, 2017, except that all vesting attributable to periods prior to June 15, 2017 is deemed to have occurred on June 15, 2017.
F3Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.