SEC Form 4 · accession 0001179110-17-011803
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Joseph Plunkett
Officer — President and COO
Period of report
Aug 24, 2017
Accepted (ET)
Aug 24, 2017 · 12:31 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 | Aug 24, 2017 | M | 75,000 | $0.00 | A | 200,127 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2 | $0.00 | Aug 24, 2017 | M | 150 | D | — | — | Common Stock | 75,000 | 0 | D |
Explanation of responses
- F1Includes 4,166 shares acquired on May 15, 2017, under the Issuer's 2007 Employee Stock Purchase Plan.
- F2Each 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.