Alphatec Holdings, Inc. — Director's Dealing 2017

Oct 31, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Alphatec Holdings, Inc. (ATEC)
CIK: 0001350653
Period of Report: 2017-10-27

Reporting Person: Berkowitz Mortimer III (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-10-27	Common Stock	M	200000	$0.00	Acquired	200933	Direct
2017-10-27	Common Stock	M	200000	$0.00	Acquired	200000	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-10-27	Series A Convertible Preferred Stock	$0.00	M	400	Disposed		Common Stock (200000)	Direct
2017-10-27	Series A Convertible Preferred Stock	$0.00	M	400	Disposed		Common Stock (200000)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	898098	Indirect
Common Stock	1750880	Indirect

Footnotes

F1: Includes shares owned by Reporting Person and shares owned by Reporting Person's spouse.

F2: Reporting 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.

F3: Each 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.