SEC Form 4 · accession 0001179110-17-009613
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Ian Molson
Director
Period of report
Apr 25, 2017
Accepted (ET)
Jun 26, 2017 · 6:35 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 | Apr 25, 2017 | A | 18,939 | $0.00 | A | 31,834 | D | |
| Common StockF2 | holding | — | — | — | 16,665 | I | (2) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $1.98 | Apr 25, 2017 | A | 28,090 | A | Apr 25, 2018 | Apr 25, 2027 | Common Stock | 28,090 | 28,090 | D |
Explanation of responses
- F1The shares vest in four equal annual installments beginning on the first anniversary of the grant date.
- F2The shares are held by the Swiftsure Trust. Mr. Molson controls Nantel Investment Ltd., which is the beneficiary of the Swiftsure Trust. Mr. Molson disclaims beneficial ownership of the shares owned by the Swiftsure Trust except as to his proportional pecuniary interest in such shares.
- F3The option vests 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.