SEC Form 4 · accession 0001179110-18-004085
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ward W Woods Jr.
Director
Period of report
Mar 8, 2018
Accepted (ET)
Mar 12, 2018 · 6:12 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 | Mar 9, 2018 | M | 386,997 | $0.00 | A | 500,000 | I | By Woods 1994 Family Partnership, LP |
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 StockF1 | — | Mar 8, 2018 | A | 2,000 | A | — | — | Common Stock | 634,921 | 2,000 | I |
| Warrants (right to buy)F2 | $3.50 | Mar 8, 2018 | A | 539,683 | A | — | — | Common Stock | 539,683 | 539,683 | I |
| Series A Convertible Preferred StockF3 | — | Mar 9, 2018 | M | 774 | D | — | — | Common Stock | 386,997 | 0 | I |
Explanation of responses
- F1Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.
- F2Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.
- F3Each share of Series A Convertible Preferred Stock has no expiration date and became convertible into 500 shares of the issuer's common stock following the date that stockholders approved such conversion, which approval was obtained on June 15, 2017.