SEC Form 4 · accession 0001350653-16-000121
Alphatec Holdings, Inc. · ATEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Ian Molson
Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 16, 2016 · 1:15 pm EST
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 Stock | holding | — | — | — | 12,898 | D | ||
| Common StockF1 | holding | — | — | — | 16,665 | I | See footnote 1 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NQ Stock OptionF3,F2 | $4.43 | Dec 12, 2016 | A | 16,324 | A | Dec 12, 2016 | Dec 12, 2026 | Common Stock | 16,324 | 32,025 | D |
Explanation of responses
- F1Such 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.
- F2The options are fully vested as of the grant date.
- F3Exercise Price Per Share