SEC Form 4 · accession 0001181431-15-005292
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Ian Molson
Director
Period of report
Feb 25, 2015
Accepted (ET)
Mar 31, 2015 · 1:04 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Common StockF4 | Feb 25, 2015 | A | 33,334 | $0.00 | A | 188,112 | D | |
| Common StockF2 | holding | — | — | — | 199,988 | I | See footnote 2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NQ Stock OptionF1,F3 | $1.35 | Feb 25, 2015 | A | 40,816 | A | Feb 25, 2016 | Feb 25, 2025 | Common Stock | 40,816 | 188,417 | D |
Explanation of responses
- F1Exercise Price Per Share
- F2Such shares of common stock are held by the Swiftsure Trust. Mr. Molosn controls Nantel Investment Ltd., which is the benificiary 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 shares vest in three tranches with one-third of the shares vesting on the anniversary date of the grant, and one-third vesting each anniversary thereafter.
- F4The shares vest in one tranche with all of the shares vesting on the anniversary of the date of grant.