SEC Form 4 · accession 0001179110-17-013566
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mortimer Berkowitz III
Director · 10% Owner
Period of report
Oct 27, 2017
Accepted (ET)
Oct 31, 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 | Oct 27, 2017 | M | 200,000 | $0.00 | A | 200,933 | D | |
| Common Stock | Oct 27, 2017 | M | 200,000 | $0.00 | A | 200,000 | I | Held By Porcupine Investment Partners, LLC |
| Common StockF2 | holding | — | — | — | 898,098 | I | Held By HealthpointCapital Partners, L.P. | |
| Common StockF2 | holding | — | — | — | 1,750,880 | I | Held By HealthpointCapital Partners II, L.P. |
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 StockF3 | $0.00 | Oct 27, 2017 | M | 400 | D | — | — | Common Stock | 200,000 | 0 | D |
| Series A Convertible Preferred StockF3 | $0.00 | Oct 27, 2017 | M | 400 | D | — | — | Common Stock | 200,000 | 0 | I |
Explanation of responses
- F1Includes shares owned by Reporting Person and shares owned by Reporting Person's spouse.
- F2Reporting Person is a managing member of HGP, LLC, which is the general partner of HealthpointCapital Partners, L.P. In addition, Reporting Person is a managing member of HGP II, LLC, which is the general partner of HealthpointCapital Partners II, L.P. Reporting Person may be deemed to beneficially own the securities held by HealthpointCapital Partners, L.P. and HealthpointCapital Partners II, L.P. Accordingly, Reporting Person disclaims beneficial ownership of such shares except as to the extent of his pecuniary interest in such shares.
- 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.