SEC Form 4 · accession 0001179110-18-004101
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
Mar 8, 2018
Accepted (ET)
Mar 12, 2018 · 7:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001350653
Table I — non-derivative securities
No Table I lines on this filing.
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 | 400 | A | — | — | Common Stock | 126,985 | 400 | D |
| Series B Convertible Preferred StockF1 | — | Mar 8, 2018 | A | 400 | A | — | — | Common Stock | 126,985 | 400 | I |
| Warrants (right to buy)F2 | $3.50 | Mar 8, 2018 | A | 107,937 | A | — | — | Common Stock | 107,937 | 107,937 | D |
| Warrants (right to buy)F2 | $3.50 | Mar 8, 2018 | A | 107,937 | A | — | — | Common Stock | 107,937 | 107,937 | 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.